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How do I apply to be licensed in Oregon as an investment advisor representative (IAR)?

April 26, 2017advisor iar Investment licensed Oregon representative

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How do I apply to be licensed in Oregon as an investment advisor representative (IAR)?

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Through your employing investment adviser firm, submit a manually signed U-4, proof of passing appropriate exam(s) or exemption from the exam requirement (see OAR 441-175-120(4)(6), and a fee of $50. All individuals must be connected to an investment adviser firm (which may be a firm that they own and control).