Investment Advisor Representative
- Exam
- State exam
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
Act as a representative of an investment adviser. Every individual seeking to become licensed as an investment adviser or an investment adviser representative must pass the examinations. There are waivers available. Investment adviser representative licenses expire concurrently with the investment adviser's license on December 31st. Renewal of investment adviser representative licenses is accomplished as part of the annual renewal sent to investment advisers. Contact the department for specifics.
Requirements reported by the state
- Licence type
- Stand-alone license
- Exam
- State exam required
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- WI Dept of Financial Institutions
- Division
- Division of Securities
- Address
- 201 W Washington Ave, Suite 300 P.O. Box 1768 Madison, WI 53707
- Phone
- (608) 266-2139
- Agency website
- http://www.wdfi.org/fi/securities/registration/
- Last updated
- September 10, 2024
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Wisconsin'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 Division of Securities — see the issuing body section above.
How we process this data. Not legal advice.