After the Exam

Last updated Dec 10, 2022 Edit Source

• Guides

In order to become accredited, after passing the Series 65, you will need to register as an Investment Adviser Representative (IAR), as well as register an RIA firm.

The Series 65 expires in two years unless you register with a state

You have two years to become registered (licensed) with a state after passing the exam. Otherwise, your exam’s status will show as “expired” and you will need to retake the exam

Licenses expire, and need renewing every year

You should already know this, as it’s covered in the exam, but it’s worth remembering that all state registrations expire and need renewing December 31st of every year. You must pay the renewal fee every year.

Here are some guides from around the web that outline the general process of registration:

• Andrew Rea’s guide to be accredited as a foreign investor
• This article from Natecation goes into a detailed guide on how to register as an adviser after taking the exam
• Achievable.me’s guide on how to join or create your own RIA firm