Investment Adviser Representative Last updated 03/01/2019
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Prerequisites and Requirements
Prerequisites
• Complete U-4 application form and file with the Oregon Division of Finance & Corporate Securities or electronically through CRD system. Signatures from the employer and employee are required.• Barring a waiver from the Director, the licensee must complete and pass the following: NASD series 65 exam (exam date after 1/1/2000) or combination of NASD series 7 and series 66 exams (series 66 exam after 1/1/2000). Alternatively, provide proof of holding a designation of CFA, CFP, ChFC, CIC or PFS.
• Must be employed by an investment adviser firm licensed or notice filed in Oregon.