Are there any waivers for the Series 65 exam?
Form U-4 has a box that can be checked that indicates the certification that you hold. The CRD computers then check databases of all active certificants prepared by the certifying organizations.
Most states will waive the Series 65 exam if you hold one or more of the following professional registrations:
CFP - Chartered Financial Planner (CFP Board of Standards);
CIC - Chartered Investment Counselor (Investment Counsel Association of America);
ChFC - Chartered Financial Consultant (American College);
PFS - Personal Financial Specialist (American Institute of Certified Public Accountants); or
CFA - Chartered Financial Analyst (Association for Investment Management and Research).
Be advised that you may still have to go through other state licensing requirements such as a background check, payment of fees, etc. Check with the state securities administrator for specific state rules.
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