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Will my professional designation serve as an alternative to taking the Series 65 examination?


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In the event that an individual seeking to register as an investment adviser representative currently holds and maintains in good standing the Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), Personal Financial Specialist (PFS), Charter Financial Consultant (ChFC) or Chartered Investment Counselor (CIC), most state securities regulators will waive the requirement that the individual successfully complete the Series 65 examination in order to register as an investment advisor representative. However, if the individual relying upon such a professional designation is no longer in good standing with the certifying organization, most state securities regulators will require the individual to successfully complete the Series 65 examination before continuing any further activities as an investment advisor representative. Even if an individual has one of the approved professional designations listed above and is currently in good standing, the individual will still need to apply for registration as an investment advisor representative by filing the Form U4 and paying the associated registration fees to the applicable state securities regulators.

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