DeVore holds her NASD Series 65 license
and a Behavioral Financial certification/designation
Based on our research, roughly 50 percent of the advisors have a Series 65 license
and registration with a broker-dealer, allowing them to sell variable products.
The plan is for me to get a Series 65 license
and to start a fee-based segment of the practice," he says.
So getting a series 65 license
should be a top priority to protect your backside.
Education: Louisiana Tech; Southern Methodist University; University of Arkansas at Little Rock; National Association of Securities Dealers Series 65 license
She holds a Series 6 securities license and is pursuing a Series 65 license
Co Series 65: Anyone who intends to offer financial advice or service on a non-commission basis, or who works with managed accounts, needs a Series 65 license
Unless the Supreme Court reverses this decision, advisors must be persons offering fee-based services only and must be in possession of a Series 65 license
He is currently licensed to practice law in the State of Mississippi, maintains a Series 65 license
and is a member of the Memphis Estate Planning Council.
She holds the FINRA Series 65 license
and the CIMA (Chartered Institute of Management Accountants) designation.
Having held his FINRA Series 7, 24, 63 and also a Series 65 license
his experience spans operations, marketing, sales management, electronic trading and compliance.
He has a Series 65 license
and is currently pursuing certification as a Wealth Analyst.