Investment Adviser Representative Last updated 03/01/2019

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Fees

License Fee Description Exemptions
$50.00
None
$50.00
None

Description

Investment Adviser Representatives provide financial advice, financial planning, and asset management services related to securities products for a fee.

Duration

One year

Renewal Information

None

Duplicate License Requirements

None

Processing Time

Processing Time Description
2-3 Weeks

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.

Required Documentation

Proof of passing examination(s).

Continuing Education Requirements

None

Bonding Requirements

None

Insurance Requirements

None

Additional Information

Other Information

For more information, please visit website at https://dfr.oregon.gov/business/licensing/financial/securities/Pages/investment-advisers.aspx

Statutes, Administrative Rules, Ordinances

Other Detail Information

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