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PSI Services provides all examination services to candidates seeking to obtain an insurance license in New York. PSI testing centers are located in various cities across New York State. For more information, or to register for an exam, visit PSI Exams Online. Insurance Licensee Look-Up.
28 kwi 2023 · This Candidate Information Bulletin provides information about the examination and licensing process for individuals who wish to operate as insurance agents, brokers and consultants, independent adjusters and public adjusters, and others, as defined in New York Insurance Laws.
To become a financial advisor in New York, you’ll need to register an independent investment adviser (IA) firm or secure employment as an investment adviser representative (IAR) with an established New York-registered IA.
28 sty 2021 · Key Points. Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements (or qualify for exemptions therefrom). With respect to investment advisers registered with the Securities and Exchange ...
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. An individual must pass the exams prior to engaging in those areas of the business.
Learn more about Name Approvals | Fingerprinting for DFS | How to Print an Agent or Broker License. Use the links below to find all of the applications, licensing information, forms, filing instructions, and many other resources and tools unique to each type of entity we supervise.
What filing is required? All firms seeking to register or notice file to conduct investment advisory or solicitor business in New York must file the form ADV through the IARD system. Firms applying for state registration must submit Parts 1A, 1B, 2A and 2B.
