Licensed Personal Financial Advisor
AlabamaActive
This record was last updated on October 31, 2020, before 2022. It may be out of date — confirm with the board.
- Exam
- State exam
- Education
- Degree
- Experience
- Affidavit or referral
- Background check
- Felony convictions prohibited
To become licensed in the State of Alabama, the applicant must have a $10,000 net worth or a surety bond of $50,000, an audited or attested balance sheet prepared with GAAP standards within the last 90 days; Applicants must successfully pass the required qualification examination.
Requirements reported by the state
- Licence type
- Registry
- Exam
- State exam required
- Education
- Degree required
- Continuing education
- Continuing education required
- Experience
- Affidavit or referral
- Background check
- Felony convictions prohibited
Issuing body
- Department
- Alabama Securities Commission
- Address
- P.O. Box 304700 Montgomery, AL 36104
- Phone
- (334) 242-2984
- Agency website
- www.asc.alabama.gov
- Licence page
- www.asc.alabama.gov
- Last updated
- October 31, 2020
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Alabama'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 Alabama Securities Commission — see the issuing body section above.
How we process this data. Not legal advice.