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 Iowa Workforce Information NetworkOctober 31, 2014
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License Title: Investment Advisor Representative

License Description: An investment advisor representative is employed by or associated with an investment adviser (company) and makes recommendations or otherwise renders advice regarding securities. They solicit offers, negotiate for the sale of or sell investment advisory services and may also supervise employees who perform any of these functions.

Authorizing Statute: Code of Iowa, Chapter 502

Requirements for License:While there are no specific educational requirements, there are examination and/or professional designation requirements.

There are no continuing education requirements for license renewal.

Fees:
Application: $30
Duration: One calendar year (all licenses expire December 31, regardless of the date of issue)
Renewal: $30


Examination:
When:Any individual who is not licensed as an investment adviser representative in any jurisdiction prior to January 1, 2000 shall be required to pass the following examinations or have the professional designations:

1) Uniform Investment Advisor Law Examination/Series 65 (1/2000 version), OR
2) General Securities Representative Examination/Series 7 and Uniform Combined State Law Exam/Series 66 (1/2000 version), - or -
3) Professional Designation:
Certified financial planner - CFP
Chartered financial consultant - ChFC
Personal financial specialist - PFS
Chartered financial analyst - CFA
Chartered investment counselor - CIC

License Authority:
Iowa Securities Bureau
Division of Insurance
Iowa Department of Commerce

340 E Maple St
Des Moines IA 50319
Phone: 5152814444


 
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