How Long Is the Series 65 License Valid?

The Series 65 license, also known as the Uniform Investment Adviser Law Examination, is a key credential for individuals looking to work as investment adviser representatives (IARs) in the United States. Once you’ve passed the Series 65 exam and become licensed, you might be wondering about how long the license is valid and whether you need to take any steps to keep it active.

Validity of the Series 65 License

The Series 65 license does not expire automatically after a certain period. However, it requires continuous registration with a state securities regulator, and maintaining that registration is critical for keeping your license active.

1. Annual Renewal Requirements

Although the Series 65 license itself does not have an expiration date, it requires annual renewal through the state in which you are registered. This renewal typically involves:

• Paying annual fees to the state regulator.
• Confirming your compliance with the ongoing state requirements for investment advisers.

The renewal process ensures that your registration remains valid and that you continue to meet all necessary regulatory standards.

2. Continuing Education (CE) Requirements

Some states require licensed investment adviser representatives to complete continuing education (CE) to maintain their registration. However, the Series 65 exam itself does not have a specific CE requirement imposed by FINRA or the SEC.

Check with your state securities regulator for specific CE requirements, as they can vary from state to state.

3. If You Stop Working as an Investment Adviser

If you cease working as an investment adviser representative for an extended period, your registration may become inactive. If you choose to re-enter the field, you will likely need to re-register with your state’s securities regulator, but you typically won’t need to retake the Series 65 exam unless a significant amount of time has passed since your license was last active.

4. When Is Retaking the Series 65 Exam Necessary?

If your license has been inactive for several years, you may be required to retake the Series 65 exam, depending on your state’s regulations. Generally, states expect individuals to maintain active registration, so it’s important to stay informed about state-specific renewal and re-registration processes.

Final Thoughts

The Series 65 license does not have an expiration date but does require annual renewal through state regulators. Be aware of your state’s specific renewal and continuing education requirements to ensure that your license remains valid and active.

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