DeVore holds a Series 65
securities license as an investment advisor representative for Northrim Investment Services.
He is also a registered Series 65
investment advisor representative.
Other BRAVIA 4K TV lineups that are present at Sony's booth at this year's CES include the A8G Series 65
" and 55" Class, and the X950G Series 85", 75", 65", and 55" Classes.
She also holds her FINRA Series 65
license and is an active member of the Financial Planning Association and Women in Finance.
First Solar (FSLR) upgraded to Buy from Neutral at BofA/Merrill with analyst Julien Dumoulin-Smith saying recent data is increasingly positive with unabated year-over-year Chinese solar demand, domestic safe harbor datapoints firming with a potential release in a couple months, firming domestic pricing, less likely import tariff exemptions, and a constructive cost trajectory for Series 65
Because there is no meaningful regulation of titles for registered representatives of broker-dealers to distinguish them from IARs of investment advisers, your "financial advisor" candidate may not have ever passed the Series 65
, obtained the CFP designation, or otherwise become eligible to perform advisory services.
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.
"Before a plan adviser can advise, he must have at least a Series 65
Says Solomon: "The good thing about a shorter exam like the Series 51 is that it's only 60 questions and it doesn't cover as much material as other securities exams, such as the Series 7 or the Series 65
. The bad thing about the Series 51 is that it's only 60 questions and there's less margin for error.
In addition to earning his Series 65
license, which allowed him to help clients as an investment advisor, he expanded into selling insurance, including Medicare plans.
In addition, most states will require an IAR to pass the Series 65
exam (or an equivalent exam).