What are the qualification requirements for investment adviser representatives?
As a rule investment advisers provide advice to their clients on the purchase or sale of stocks, bonds, mutual funds, and market-related investments. They need to have the following skills:
- a head for figures
- ability to analyze
- to be comfortable coping with complex financial problems
- management skills
- problem-solving skills.
- communication and presentation skills
- excellent listening skills
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Each IAR, except those employed or engaged by an investment adviser solely to offer or negotiate for the sale of investment adviser services, must qualify by passing the examination(s) as specified in CCR §260.236(a). The examination requirements are the Uniform Investment Adviser Law Examination (“2000 Series 65”) passed on or after January 1, 2000; or the General Securities Representative Examination (“Series 7”) and Uniform Combined State Law Examination (“2000 Series 66”). Waivers and exemptions to the examination requirements may be found in subsection (b) and (c) of CCR §260.236, respectively. Individuals who hold in good standing an approved professional designation meet the exemption found in (c)(3) of CCR §260.236. When a U-4 is filed to register someone as an IAR, the CRD will automatically open a Series 65 exam window if the individual is not shown as already having passed the exam, is not already licensed by another jurisdiction, or does not qualify for an automatic exam wa
Related Questions
- What are the basic regulatory requirements for a solicitor referral arrangement between an SEC registered investment adviser and a third-party (non-employee)?
- Are there any requirements for investment adviser representatives of SEC registered investment advisers?
- What are the qualification requirements for investment adviser representatives?
