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If you have not been registered as an investment advisor representative in Virginia or in another state in the last 2 years (from the date of the application) and have no professional designation, you must take either the Series 65 or the Series 66 and Series 7 and receive a passing score.
6 kwi 2020 · 21 VAC 5-80-10 E requires a federally covered advisor to submit: completed Form ADV Part 1; the statutory fee of $200 paid from the applicant’s IARD Daily Account. Investment Advisor Representative Initial Registration. Representatives of State and Federal Covered Advisors.
Broker-Dealer and Agent Registration Instructions. Note: All broker-dealer and agent registrations expire annually at midnight on the 31st day of December unless renewed. Virginia does not have a deminimus for broker-dealers. Broker-Dealer Initial Registration. Broker-Dealer Agent Initial Registration.
An individual applying for registration as an investment advisor representative shall be required to provide evidence of passing within the two-year period immediately preceding the date of the application (i) the Uniform Investment Adviser Law Examination, Series 65; (ii) the Uniform Combined State Law Examination, Series 66 and the General ...
There are no pre-licensing education requirement, but would-be producers must pass the state’s licensing exam as conducted by independent third-party proctoring firm Prometric. Actual licensing registration is performed through either the Sircon or NIPR (National Insurance Producer Registry) systems.
File a CPA or CPA Firm complaint Board of Accountancy. Virginia financial licenses such as CPA, insurance agents, and securities.
This guide will help you to become a financial adviser in Virginia by describing how to register an independent investment advisor (IA) firm of your own or how to become registered as an investment adviser representative (IAR) so as to work for an established firm.
