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An investment adviser representative must pass either the Uniform Investment Adviser Law Examination (Series 65); or the applicable required FINRA examination (s) and the Uniform Combined State Law Examination (Series 66). Individuals with certain professional designations may be exempt from examination requirements.
Welcome to the Indiana Securities Portal The Securities Portal is the easy, fast and secure way to connect with the
You must fulfill the exam requirements by passing the S7 and the S66 or by passing the S65 or by holding in good standing one or more of the following approved professional designations: CFP, CFA, ChFC, CIC, or PFS.
In order to become a stockbroker in Indiana, you must be registered with the Indiana Securities Bureau, the Securities and Exchange Commission (SEC), and at least one self-regulatory organization (SRO) recognized by the SEC.
Under Ind. Code § 23-19-3-4, registration by qualification is available for securities offerings that are exempt from federal registration with the Securities and Exchange Commission (“SEC”) under the Securities Act of 1933, but not exempt from registration in Indiana.
Financial & Bonding Requirements. An IA is not required to maintain a bond or satisfy a minimum net worth requirement. Audited financial statements are required for IAs that have custody of client funds and IAs that require advance payment of fees in excess of $500 or 6 months in advance.
What is the Securities Division's initial filing requirement for a Registration by Qualification (RQ)? What kind of background check is required, and how often is it required, in order to be licensed as a mortgage loan originator or principal manager? What payment methods does the Secretary of State's Securities Division accept for filing fees?
