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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.
AB Training Center offers an array of courses to those needing a Series 6, 7, or 63 license in Indiana.No matter if you're a resident or just working in the state, we can help you obtain your licensure in no time. All of our courses are designed to help you pass the exams developed by the North American Securities Administrators Association ...
To become a financial advisor in Indiana, start with legal registration of a new independent investment adviser (IA) firm or register as an investment adviser representative (RA) for a firm that already has a client base that includes Indiana residents.
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.
Lookup Approved Pre-Licensing Education or CE Courses. Find an Agent or Agency. Producer (Agent/Agency) Licensing Main Page. Important Updates, Notices, Updates to Law - Producer Licensing Division. Pre-Licensing Education Providers Main Page. Continuing Education Providers Main Page.
Follow this step-by-step guide for a full explanation of the examination, sponsorship, and registration requirements for becoming a stockbroker in Indiana. Step 1. Get Your Education. Acquire a four-year college degree.
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work.
