Updated: |
7/6/2007 |
Description: |
Investment Adviser Representatives provide financial advice, financial planning, and asset management services related to securities products for a fee.
Similar Keywords: advisers, advisors, stocks, bonds, mutual funds, investments, planners |
Statutes, Rules, Ordinances: |
ORS 059
OAR 441-175
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Duration: |
One year |
Fees - application, exam, etc.: |
Original license: $50 Renewal: $50 (at time of firm's renewal) |
Responsible Agency: |
Finance & Corporate Securities Div DFCS - Licenses |
Examination Information: |
NASAA exams Exam locations Exam Repeat: Must reapply, pay fee, and make new appointment. |
Bonding Requirements: |
None |
Insurance Requirements: |
None |
Prerequisites: |
- Complete U-4 application form and file with the Oregon Division of Finance & Corporate Securities or electronically through CRD system. Signatures from the employer and employee are required.
- Barring a waiver from the Director, the licensee must complete and pass the following: NASD series 65 exam (exam date after 1/1/2000) or combination of NASD series 7 and series 66 exams (series 66 exam after 1/1/2000). Alternatively, provide proof of holding a designation of CFA, CFP, ChFC, CIC or PFS.
- Must be employed by an investment adviser firm licensed or notice filed in Oregon.
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Application Form: |
U-4 Uniform Application for Securities Industry Registration or Transfer |
Service Links: |
Investment adviser main search page
Application
Agency Contact Information
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Required Documentation: |
Proof of passing examination(s). |
Additional Information: |
Overnight mail address: 350 Winter St NE, Room 410 Salem, OR 97301-3881 |
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Agency Information
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Please refer to the Agency Website for further details and additional information.
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Agency Name: |
Finance & Corporate Securities Div DFCS - Licenses |
E-mail Address: |
dcbs.dfcsmail@state.or.us
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Phone: |
503-378-4140
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Mail Address: |
Division of Finance & Corporate Securities PO Box 14480
Salem, OR 97309
- 0405
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Website Information: |
http://dfcs.oregon.gov/ |