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
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