I work in a state that doesnt license representatives of an investment adviser — will my Series 65 exam expire?
Yes. After two years of not being licensed in a state requiring the Series 65, your exam will be shown on the CRD record as expired. If youve been working as an investment adviser representative in a state that doesnt require registration, most states have discretion to waive the requirement to retake the exam. Usually a statement from your employer regarding your duties is necessary. If youre registered in multiple states but live in a state that doesnt require the exam, and the others do, then youve met the requirement of being continually registered.
Related Questions
- If I work in a state that doesnt register representatives of investment advisers can the company I want to join make me take the Series 65 exam?
- Do I need the Series 65 exam if Im just getting referral fees from an investment adviser for clients that I soliciting?
- I work in a state that doesnt license representatives of an investment adviser -- will my Series 65 exam expire?
