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(a) Examination requirements. To be registered as an investment adviser or investment adviser representative under the act, an individual shall meet one of the following examination requirements:
The state of Pennsylvania requires that IAR candidates complete at least one of the following exam scenarios: The Series 65, Uniform Investment Adviser Law Examination; OR. The Series 7, General Securities Representative Examination, in combination with the Series 66, Uniform Combined State Law Examination; Register:
26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.
ABTrainingCenter.com offers FINRA securities licensing courses and exam prep materials to help you earn an SIE, Top-Off, Series 6, 7, 63, 65, or other securities licenses for Pennsylvania.
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
Financial & Bonding Requirements. Any IA requesting registration in Pennsylvania must be solvent. In addition, an IA with discretion must have a minimum net worth of $10,000 and provide an unaudited (prepared in accordance with GAAP) no older than 45 days from the date of filing the application.
17 kwi 2020 · Figuring out which Series exam and licensure is right for you can be a bit overwhelming. We teamed up with a practicing Certified Public Accountant and finance professional to explain the differences between some of the most popular FINRA Series licenses available today to help you decide which one is right for you.
