What Jobs Require a Series 66 License?

💼 What Jobs Require a Series 66 License?

The Series 66 license—officially known as the Uniform Combined State Law Examination—is essential for professionals who want to provide investment advice and sell securities. It’s often paired with the Series 7 license to meet state registration requirements. Here’s a look at the key roles that typically require the Series 66:

🔑 Primary Jobs Requiring the Series 66

1. Investment Adviser Representative (IAR)

• Offer personalized financial advice
• Build and manage client investment portfolios
• Receive fees for advisory services

2. Financial Advisor / Financial Consultant

• Develop long-term financial plans for individuals or businesses
• Recommend investment strategies
• Provide guidance on retirement, estate, and tax planning

3. Wealth Manager

• Serve high-net-worth clients with customized solutions
• Combine investment advice with financial planning
• Focus on long-term asset growth and preservation

4. Portfolio Manager (at smaller firms or RIAs)

• Manage client portfolios in line with risk tolerance and goals
• Conduct research and select investment products
• Must be licensed to advise and make discretionary trades

5. Private Client Advisor

• Typically work at banks or investment firms
• Serve affluent individuals with full-service advice
• Often required to hold both Series 7 and Series 66

🧾 Why the Series 66 Matters

The Series 66 license qualifies you to:

• Provide investment advice for a fee
• Act as a representative of a Registered Investment Adviser (RIA)
• Conduct business in states that require state-level registration

It combines aspects of the Series 63 and Series 65, eliminating the need to take both separately.

🚀 Career Tip

To hold a Series 66 license, you must also pass the Series 7 exam. Together, they open doors to advisory roles at broker-dealers, banks, and independent RIAs.

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