Investment Adviser

Exam: Third-party exam
Education: None
Experience: None
Background check: Specific type of conviction prohibited

Any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for comp

Requirements reported by the state

Licence type: Stand-alone license
Exam: Third-party exam required
Education: No education required
Certification: Certification may substitute for license requirements
Experience: No experience
Background check: Specific type of conviction prohibited
Physical requirement: No physical requirements

Issuing body

Department: NC Department of the Secretary of State
Division: Securities Division
Address: 2 South Salisbury St Raleigh, NC 27601
Phone: (919) 814-5500
Agency website: https://www.sosnc.gov/divisions/securities/for_securities_professionals
Licence page: https://www.sosnc.gov/divisions/securities/investment_adviser_registration
Last updated: March 25, 2024

Occupations (O*NET)

Investment Advisor 13-2052.00

Source and verification

This record is North Carolina's report to the Analyst Resource Center, published by CareerOneStop (October 2024 export). Everything shown comes only from that report.

Before you apply, confirm every detail with Securities Division — see the issuing body section above.

How we process this data. Not legal advice.