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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.
The Indiana Secretary of State, Securities Division (“Division”) routinely conducts examinations of investment advisers registered in the State of Indiana for compliance with the Indiana Code and Indiana
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.
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.
The Registration Category of "Amendment" should only be selected if a post-effective amendment is being made to increase the number of securities specified to be offered or sold. To file all other amendments and supplemental materials, proceed to the "My Registrations" page.
You’ll be required to take either: The Series 65, Uniform Investment Adviser Law Examination by itself; OR. The Series 66, Uniform Combined State Law Examination in combination with the Series 7, General Securities Representative Examination.
