Financial advisor license requirements by state, side by side

Financial advisor license requirements differ by state in registration, the state's approval to work with clients there, while the exams are the same everywhere.

Each state's securities regulator sets its own registration fee and decides whether you need the Series 63, which designations can replace the Series 65, and whether you owe yearly continuing education. NASAA, the association of state securities regulators, lists every one in its regulator directory.

To give advice for a fee as an investment adviser representative (IAR), you pass the Series 65, or the Series 7 plus the Series 66. To sell securities as a state agent of a brokerage firm, you pass the SIE, a Series 7 that the firm sponsors and, in most states, the Series 63. Your firm then registers you with the regulator in each state where you do business with clients.

An IAR registration costs from $01 in Louisiana to $2551 in Georgia on the IARD fee schedule run by FINRA, the brokerage industry's self-regulator, dated August 6, 20262. 243 states and DC require or have scheduled continuing education for IARs. The Series 63 is not required for agents of FINRA member firms in Colorado, Florida, Louisiana, Maryland and the District of Columbia4.

DataMay 2025 OEWS, CRD and IARD fee schedules as of August 6, 2026, NASAA IAR CE map and state rules as read October 2026. Data updated

How we made this page

Quick facts

IAR registration fee
$0 to $2551,fees as of August 6, 20262
Agent registration fee, to sell securities
$14 to $1904,fees as of August 6, 20262
Exam fees, the same in every state
SIE $1005, Series 7 $3956, Series 63 $1477, Series 65 $1878, Series 66 $1779,checked October 29, 202610
IAR continuing education
243 states and DC, 1211 credits a year. Indiana and Washington3 start in 2027.
No Series 63 for agents of FINRA member firms
Colorado, Florida, Louisiana, Maryland and the District of Columbia4
One agency for securities and insurance
Iowa, Kansas, Minnesota, Montana, North Dakota, Oregon, Rhode Island, South Dakota, Vermont and the District of Columbia12
Personal financial advisors on US payrolls, May 2025
266,80013, or 299,40014 counting the self-employed

How to become a financial advisor in your state

The steps are the same in every state and are laid out in order in the step by step guide. Start with the state where you will work with clients. Each state guide adds that state's registration steps, exam waivers and quirks.

Every state and the District of Columbia

For every other state, the table below links its securities regulator.

Financial advisor license requirements in every state

Find your state, then open its guide or its regulator. The agent columns apply if you will sell securities for a broker-dealer, and the IAR columns if you will give advice for an investment adviser firm. Many advisors are both.

  • Fees show the first-year fee, then the yearly renewal, from each state's fee rule where we found one, checked against FINRA's CRD fee schedule and the IARD schedule, both dated August 6, 20262. Where we found no rule, the fee is the schedule's.
  • "Series 63 or 66" means the state takes the Series 66 in place of the Series 63, which works only if you also hold the Series 7. "Series 63" means the state's rule, or for Arizona the FINRA schedule, names only the Series 63. NASAA says a Series 66 passed with a valid SIE and Series 7 counts as a Series 63 pass in FINRA's registration system.
  • Continuing education is as NASAA's map showed it on October 29, 20263, since the map shows no update date.
  • Advisor counts are BLS payroll counts for May 2025.

If you are changing careers, the roadmap builder turns your state's row into your own list of steps.

Financial advisor registration rules for every state and DC, with CRD and IARD fees and BLS May 2025 advisor counts

Financial advisor registration rules for every state and DC, with CRD and IARD fees and BLS May 2025 advisor counts
StateSecurities regulatorAgent fee, first year and renewalIAR fee, first year and renewalIAR fee if already an agent there1Series 63 rule for agentsDesignations that replace the Series 65IAR continuing education3Advisors on payrolls18
AlabamaAlabama Securities Commission15$70,renewal $7016$70,renewal $7016SameSeries 63 or 6617CFP® certification, ChFC, PFS, CFA, CIC17No32,54018
AlaskaAlaska Division of Banking & Securities19$75,renewal $7520$75,renewal $7520SameSeries 63 or 6621CFA, ChFC, CFP® certification, CIC, CIMA, PFS22No3Not published by BLS
ArizonaArizona Securities Division23$45,renewal $4524$40,renewal $4025SameSeries 634CFP® certification, CFA, ChFC, CIC, PFS26No36,43018
ArkansasArkansas Securities Department27$75,renewal $7528$75,renewal $7528SameSeries 63 or 6629CFP® certification, ChFC, PFS, CFA, CIC30Yes, since 202331,32018
CaliforniaCalifornia Department of Financial Protection and Innovation (DFPI)31$50,renewal $5032$50,renewal $5033SameSeries 63 or 6634CFA, ChFC, CFP® certification, CIC or PFS35Yes, since 2024332,20018
ColoradoColorado Division of Securities (Department of Regulatory Agencies)36$14,renewal $1437$14,renewal $1437SameNo Series 63 for reps of FINRA member broker-dealers, only the FINRA exams38CFA, CIMA, ChFC, CFP® certification, PFS39Yes, since 202436,73018
ConnecticutConnecticut Securities & Business Investments Division40$125,renewal $12541$125,renewal $12541SameSeries 6342CFA42No3Not published by BLS
DelawareDelaware Investor Protection Unit43$65,renewal $6544$65,renewal $6544SameSeries 63 or 6645CFP® certification, ChFC, PFS, CFA, CIC45No3Not published by BLS
District of ColumbiaDistrict of Columbia Department of Insurance, Securities & Banking46$45,renewal $4547$45,renewal $4547SameNot required48CFP® certification, ChFC, PFS, CFA, CIC49Yes, since 2023348018 (rough estimate)
FloridaFlorida Office of Financial Regulation, Division of Securities50$50,renewal $5051$50,renewal $5051SameNot required (Form U4 attestation)52CFP® certification, ChFC, PFS, CFA or CIMA53Yes, since 2024321,49018
GeorgiaGeorgia Secretary of State, Securities Division54$55,renewal $454$255,renewal $1051$51Series 6355CFP® certification, ChFC, MSFS, CFA, PFS, CIC56No36,83018
HawaiiHawaii Division of Business Registration57$50,renewal $5058$50,renewal $5058SameSeries 6359CFP® certification, ChFC, PFS, CFA, CIC60Yes, since 2024355018
IdahoIdaho Department of Finance61$50,renewal $5062$30,renewal $3062None at a firm registered both waysSeries 63 or 6663CFP® certification, ChFC, CFA, PFS, CIC64No376018
IllinoisIllinois Secretary of State, Securities Department65See regulatorSee regulatorSee regulatorSeries 63 or 6666CFP® certification, ChFC, PFS, CFA or CIMA67Yes, since January 1, 202639,76018
IndianaIndiana Securities Division68$25,renewal $2569$25,renewal $2570SameSeries 63 or 6671CFP® certification, ChFC, PFS, CIC72Starts in 202735,40018
IowaIowa Insurance Division73$40,renewal $4074$30,renewal $3074SameSeries 63 or 6675CFP® certification, ChFC, PFS, CFA, CIC75No31,92018
KansasKansas Department of Insurance76See regulatorSee regulatorSee regulatorSeries 63 or 6677CFP® certification, ChFC, PFS, CFA, CIC78No34,15018
KentuckyKentucky Department of Financial Institutions79$50,renewal $5080$50,renewal $5080SameSeries 63 or 6681CFP® certification, ChFC, PFS, CFA, CIMA81Yes, since 202332,04018
LouisianaLouisiana Office of Financial Institutions82$60,renewal $6083$0,renewal $084SameNot required4CFP® certification, ChFC, PFS, CFA, CIC85No31,47018
MaineMaine Office of Securities86$50,renewal $2587$50,renewal $2587SameSeries 63 or 6688CFP® certification, ChFC, PFS, CFA, CIC89No385018
MarylandMaryland Division of Securities90$65,renewal $6591$50,renewal $5091SameNot required92CFP® certification, ChFC, PFS, CFA, CIC93Yes, since 202235,26018
MassachusettsMassachusetts Securities Division94$75,renewal $7595$50,renewal $5096SameSeries 63 or 6697CFP® certification, CFA, ChFC, CIC, PFS96No3Not published by BLS
MichiganMichigan Corporations, Securities & Commercial Licensing Bureau98$65,renewal $6599$65,renewal $6599$01Series 63 or 66100CFP® certification, ChFC, MSFP, CFA, PFS, CIC101Yes, since 202336,57018
MinnesotaMinnesota Department of Commerce102$65,renewal $65103$50,renewal $50103SameSeries 63 or 66104CFP® certification, ChFC, MSFS, CFA, PFS, CIC104Yes, since 202535,28018
MississippiMississippi Securities Division105$50,renewal $50106$50,renewal $50106SameSeries 63 or 66106CFP® certification, ChFC, PFS, CFA, CIC106Yes, since 2022379018
MissouriMissouri Securities Division107$50,renewal $50108$50,renewal $50108$01Series 63 or 66109CFP® certification, ChFC, PFS, CFA, CIMC109No34,48018
MontanaMontana Commissioner of Securities and Insurance110$100,renewal $100111$100,renewal $100111None at a firm registered both waysSeries 63 or 66112Ask the regulatorNo3Not published by BLS
NebraskaNebraska Department of Banking & Finance Bureau of Securities113$40,renewal $40114$40,renewal $40114SameSeries 63 or 66115CFP® certification, ChFC, PFS, CFA, CIC116Yes, since 202532,21018
NevadaNevada Securities Division117$125,renewal $125118$110,renewal $110118SameSeries 63 on the FINRA schedule4CFP® certification, ChFC, PFS, CFA, CIC119Yes, since 202431,73018
New HampshireNew Hampshire Bureau of Securities Regulation120$130,renewal $100121$125,renewal $100121None at a firm registered both waysSeries 63 or 66122CFP® certification, ChFC, PFS, CFA, CIC122No31,85018
New JerseyNew Jersey Bureau of Securities123$190,renewal $190124$210,renewal $210125$01Series 63126CFP® certification, ChFC, PFS, CFA, CIC127Yes, since 202539,30018
New MexicoNew Mexico Securities Division128$50,renewal $504$50,renewal $501SameSeries 63 or 66129CFA, CIC, CFP® certification, ChFC, PFS130No361018
New YorkNew York Attorney General, Investor Protection Bureau131$70,renewal $37132$200,renewal $200133SameSeries 63 or 66134CFP® certification, ChFC, PFS, CFA or CIC135Not adopted321,55018
North CarolinaNorth Carolina Department of the Secretary of State, Securities Division136$125,renewal $125137$75,renewal $75138SameSeries 63 or 66139CFP® certification, ChFC, PFS, CFA, CIC140No312,34018
North DakotaNorth Dakota Insurance & Securities Department141$75,renewal $75142$60,renewal $60143SameSeries 63 or 66144CFP® certification, ChFC, PFS, CFA, CIC145Yes, since 2024354018
OhioOhio Division of Securities146$60,renewal $60147$35,renewal $35147SameSeries 63 or 66148CFP® certification, CFA, ChFC, CIC, PFS149No37,68018
OklahomaOklahoma Department of Securities150$50,renewal $50151$50,renewal $50151SameSeries 63 or 66152CFP® certification, ChFC, CFA, PFS, CIMA152Yes, since 202331,14018
OregonOregon Division of Financial Regulation153$60,renewal $60154$50,renewal $50154SameSeries 63 or 66155CFA, CFP® certification, ChFC, CIC, PFS156Yes, since 202333,07018
PennsylvaniaPennsylvania Department of Banking and Securities157$135,renewal $120158$135,renewal $120158SameSeries 63 or 66159CFP® certification, ChFC, MSFS, CFA, PFS, CIC159No312,20018
Rhode IslandRhode Island Department of Business Regulation160$100,renewal $100161$60,renewal $60161SameSeries 63 or 66162CFP® certification, ChFC, PFS, CFA, CIC162Yes, since 202531,13018
South CarolinaSouth Carolina Securities Division163$110,renewal $1104$55,renewal $551SameSeries 63 or 66164CFP® certification, ChFC, PFS, CFA, CIC164Required, under Order 250021652,40018
South DakotaSouth Dakota Division of Insurance - Securities Regulation166$125,renewal $125167$50,renewal $50167SameSeries 63 or 66168CFP® certification, ChFC, CFA, PFS, CIMA169No362018
TennesseeTennessee Securities Division170$50,renewal $504$50,renewal $501SameSeries 63 or 66171CFP® certification, ChFC, CFA, PFS, designations on the NASAA list172Yes, since 202433,97018
TexasTexas State Securities Board173$35,renewal $20174$35,renewal $20175SameSeries 63 or 66176CFA, CFP® certification, PFS, CIMA, ChFC177Not adopted318,20018
UtahUtah Division of Securities178$40,renewal $40179$30,renewal $30180SameSeries 63 or 66181CFP® certification, ChFC, PFS, CFA, CIC182No32,52018
VermontVermont Department of Financial Regulation183$145,renewal $145184$80,renewal $80184SameSeries 63 or 66185CFP® certification, ChFC, PFS, CFA, CIMA185Yes, since 2022352018
VirginiaVirginia Division of Securities and Retail Franchising186$40,renewal $40187$40,renewal $40188SameSeries 63 or 66189CFP® certification, ChFC, PFS, CFA, CIC190No36,34018
WashingtonWashington Securities Division191$50,renewal $30192$50,renewal $30192SameSeries 63 or 66193CFP® certification, ChFC, PFS, CFA, CIC194Starts in 202735,79018
West VirginiaWest Virginia Securities Commission195$100,renewal $82196$105,renewal $87197SameSeries 63 or 66198CFP® certification, ChFC, PFS, CFA, CIC199No367018
WisconsinWisconsin Department of Financial Institutions200$80,renewal $80201$80,renewal $80201SameSeries 63 or 66202CFP® certification, ChFC, PFS, CFA, CIMA203Yes, since 202335,20018
WyomingWyoming Secretary of State, Compliance Division204$45,renewal $45205$45,renewal $45205$01Series 63 or 66206CFP® certification, ChFC, MSFS, CFA, PFS, CIC207No331018
Show all statesShow fewer states

Notes on the table.

  • Illinois and Kansas show no fee because each state's fee rule and the CRD schedule disagree, so check with the regulator before you budget.
  • Pennsylvania and West Virginia fees include the compliance assessment each state's law adds to every registration.
  • New Hampshire law sets a lower first-year IAR fee than the IARD schedule shows, and the table shows the fee in the law.
  • Nevada's rule names only FINRA exams while the FINRA schedule marks the Series 63 as required, so confirm with the Nevada Securities Division.
  • Texas also accepts its own Texas Securities Act exam in place of the Series 63. The IARD schedule shows a lower IAR fee for Texas agents, but the Texas fee rule does not, so the Texas row shows the standard fee.
  • Montana's rule as we read it lists no designations, so ask its regulator.
  • Where a count says not published, BLS withheld the estimate.

What is the same in every state

  • The exam fees. The fees in Quick facts apply in every state. Only the registration fees in the table change, and the cost and time tool adds both up for your state.
  • The exams. FINRA runs the SIE and the Series 7. NASAA writes the Series 63, 65 and 66. Every state uses the same versions.
  • The Series 66 shortcut needs the Series 7. FINRA lists the Series 79 as a co-requisite of the Series 66. With a valid SIE and Series 7, a Series 66 pass counts as both the Series 63 and the Series 65. Without them it does not.
  • No degree for the exams. No FINRA or NASAA exam requires a college degree, and FINRA opens the SIE to anyone 185 or older. Hiring is a separate question. BLS lists a Bachelor's degree14 as the typical entry-level education for advisors, and firms set their own hiring rules.
  • Passing is not a license. NASAA says a state can still require an application, usually a Form U4 filed by your firm, a background check, bonding and a fee before it registers you.

Exam prep is at Advisor Train for the Series 63, Series 65 and Series 66. Which exams fit which kind of work is on the licenses page.

Does every state require the Series 63?

No. FINRA's fee and setting schedule, which records each state's exam settings, marks the Series 63 as not required for agents of FINRA member firms in Colorado, Florida, Louisiana, Maryland and the District of Columbia4. Florida takes an attestation on the Form U4 instead. Colorado accepts the FINRA exams alone for representatives of FINRA member broker-dealers. Every other state requires the Series 63, and most accept the Series 66 in its place if you also hold the Series 7.

No Series 63 for agents of FINRA member firms4

The Series 63 covers selling. If you only want to give advice for a fee, you need the Series 65, or the Series 66 with the Series 7, unless a designation replaces it.

Several license explainers and AI answers still say every state requires the Series 63, or that the Series 66 alone replaces the Series 63 and 65. The state rules and the FINRA schedule say otherwise, and the table shows each state's rule.

Does CFP® certification or another designation replace the Series 65?

In nearly every state, if the designation is current when you apply. NASAA's model list, approved in May 2024, is CFP® certification, ChFC or MSFS, CFA, PFS and CIMA208. Every state list in the table names the CFP® certification except Connecticut, which lists only the CFA charter, and Montana, where the rule we read lists none.

NASAA's model list, approved in May 2024208
  • CFP® certification
  • ChFC or MSFS
  • CFA
  • PFS
  • CIMA

State lists have not all caught up with NASAA's. 38209 jurisdictions still list the CIC designation, which NASAA's current list leaves out, and only Alaska, Colorado, Florida, Illinois, Kentucky, Oklahoma, South Dakota, Texas, Vermont and Wisconsin209 name the CIMA certification, which it includes. Connecticut names only the CFA, and Indiana leaves the CFA out42. The designations column shows each state's list.

A designation replaces the Series 65 only. It never replaces the SIE, Series 7 or Series 63 that selling securities needs.

Which states require IAR continuing education?

NASAA's IAR CE map lists 243 states and DC that require or have scheduled continuing education for IARs, 1211 credits a year under NASAA's model rule. It is in force today in 233 of them, and Indiana and Washington3 start in 2027.

  1. Since 2022, Maryland, Mississippi and Vermont3
  2. Since 2023, Arkansas, Kentucky, Michigan, Oklahoma, Oregon, South Carolina, Wisconsin and the District of Columbia3
  3. Since 2024, California, Colorado, Florida, Hawaii, Nevada, North Dakota and Tennessee3
  4. Since 2025, Minnesota, Nebraska, New Jersey and Rhode Island3
  5. Since January 1, 2026, Illinois3

NASAA's map lists no IAR continuing education requirement in the other 263 states.

Where it applies, half the credits cover ethics and professional responsibility and half cover products and practice. That is separate from FINRA's own continuing education, which everyone registered through a brokerage firm completes every year under FINRA Rule 1240, in every state. Some older pages still describe FINRA's former three-year cycle. If you hold both registrations, NASAA lets the FINRA course count toward the products and practice half.

Is the IAR fee lower if you are already registered as an agent?

In a few states. Many advisors register both ways, as an agent to sell securities and as an IAR to give advice. The IARD schedule, dated August 6, 20262, lists a lower IAR fee for someone already registered as an agent in the same state in these.

  • Georgia, $51 instead of $2551
  • Michigan, $01 instead of $6599
  • Missouri, $01 instead of $50108
  • New Jersey, $01 instead of $210125
  • Wyoming, $01 instead of $45205

Idaho, Michigan, Montana, New Hampshire and Wyoming law also excuse the IAR fee for an agent who works for a firm registered as both a broker-dealer and an investment adviser. Everywhere else, plan on paying both fees.

Do states waive registration fees for veterans?

Some states waive or refund registration fees for people who served. These are the ones we found in state rules.

  • Florida waives the initial agent and IAR registration fee for active duty members, honorably discharged veterans, spouses married during active duty and surviving spouses, and waives renewal for active duty members, their spouses and recently separated veterans. Florida law
  • Texas can waive or refund the initial application fee and the Texas exam fee for military service members, spouses and veterans, and speeds up registration for some of them. Texas rules
  • Wisconsin charges no agent or IAR fee to anyone eligible for its veterans fee waiver program. Wisconsin law
  • Vermont may waive or refund fees for military personnel who meet its conditions. Vermont law
  • Maine may waive the renewal fee for National Guard and Reserve members ordered to active duty. Maine law
  • Missouri charges no renewal fee to agents and IARs called to active duty or who join the armed forces, for the time they serve. Missouri rule

Each waiver has its own conditions and paperwork, so confirm with the regulator before you count on it. If you served and your state is not listed, ask its regulator. The military to financial advisor guide covers the rest of the path.

Do you need a separate insurance license?

Yes, if you will sell life, health or annuity products. That license comes from the state insurance regulator, listed in the NAIC directory, not from the securities regulator in the table. In Iowa, Kansas, Minnesota, Montana, North Dakota, Oregon, Rhode Island, South Dakota, Vermont and the District of Columbia12, one agency regulates both securities and insurance. Even there, the insurance license is its own application with its own fee.

How many advisors work in each state?

The Bureau of Labor Statistics counted 266,80013 personal financial advisors on US payrolls in May 2025. That survey leaves out the self-employed, and many advisors are, so its Occupational Outlook Handbook counts 299,40014 jobs. The state counts in the table are payroll counts and run low for the same reason, and the District of Columbia count has a high error margin. BLS pay figures by state, for all employers and with the tenth to ninetieth percentile spread, are on the advisor career map. BLS figures for the largest metros are on the cities page.

Personal financial advisors on payrolls, the ten states with the most, BLS May 202518
California
32,20018
New York
21,55018
Florida
21,49018
Texas
18,20018
North Carolina
12,34018
Pennsylvania
12,20018
Illinois
9,76018
New Jersey
9,30018
Ohio
7,68018
Georgia
6,83018

Questions people ask

Does a financial advisor have to be licensed in every state?

No, only where you do business. You register as an agent in each state where you sell securities to clients. An IAR of a state-registered adviser firm registers in each state where they do advisory business. An IAR of an SEC-registered firm registers only in the states where they have a place of business, under Section 203A of the Investment Advisers Act. Which case applies depends on the firm, not you. NASAA's guide puts adviser firms under $100,000,000210 in client assets with the states and larger ones with the SEC. Your firm files your registrations and can tell you which states you hold.

Do I need a sponsor to take the exams?

Only for the Series 7. The SIE and NASAA's Series 63, 65 and 66 need no sponsor, so you can take those while you still work another job. The Series 7 needs a FINRA member firm as your sponsor, so you take it only after a firm agrees to sponsor you. No pass registers you on its own. Time the state exams with care, because most states give you 2208 years from passing one to get registered before it lapses.

Which state charges the most to register an investment adviser representative?

Georgia, at $2551 on the IARD schedule as of August 6, 20262, or $51 if you are already registered there as an agent. Louisiana lists $01. The licensing cost and time tool adds the exams and other fees for your state.

Who regulates financial advisors in my state?

The state securities regulator registers agents and IARs, and the table names and links it for every state. It may be a division of securities, a department of banking or commerce, the secretary of state or the attorney general. The insurance license comes from the state insurance department, which in some states is the same agency. NASAA keeps the official directory.

Can I be a financial advisor without a license?

Not if you give securities advice for pay or sell securities. Both need registration in the states where you work, which takes the right exams or, for advice, a designation that replaces the Series 65. Selling securities also needs FINRA registration through a firm. Some jobs at advisory firms need no license at all, and the licenses page shows which work needs which exam.

Sources

FINRA NASAA BLS Alabama Securities Commission Alabama Legislative Services Agency, Alabama Administrative Code Alaska Legislature (akleg.gov), Alaska Administrative Code +80 moreShow sourcesHide sources

FINRA

  1. IA Representative Fee and Setting Schedule, Fees As Of 8/6/2026.iard.com, accessed October 29, 2026
  2. SRO/Jurisdiction Fee and Setting Schedule and IA Representative Fee and Setting Schedule, Fees As Of 8/6/2026.finra.org, accessed October 29, 2026
  3. SRO/Jurisdiction Fee and Setting Schedule, Fees As Of 8/6/2026.finra.org, accessed October 29, 2026
  4. Securities Industry Essentials (SIE) Exam, FINRA SIE exam page, as read October 29, 2026.finra.org, accessed October 29, 2026
  5. Series 7 exam page, FINRA exam page, as read October 29, 2026.finra.org, accessed October 29, 2026
  6. Series 63 exam page (NASAA exam administered by FINRA), FINRA exam page, as read October 29, 2026.finra.org, accessed October 29, 2026
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  8. Series 66 exam page (NASAA exam administered by FINRA), FINRA exam page, as read October 29, 2026.finra.org, accessed October 29, 2026
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  10. IAR Continuing Education, as read October 29, 2026.iard.com, accessed October 29, 2026
  11. Rule 1240, Continuing Education Requirements.finra.org, accessed October 29, 2026

NASAA

  1. NASAA IAR CE map, Page as read October 29, 2026, no last-updated date shown.nasaa.org, accessed October 29, 2026
  2. NASAA Contact Your Regulator and NAIC Insurance Departments, Pages as read October 29, 2026.nasaa.org, accessed October 29, 2026
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  35. NASAA Contact Your Regulator, South Carolina, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  36. NASAA Contact Your Regulator, South Dakota, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  37. NASAA Contact Your Regulator, Tennessee, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  38. NASAA Contact Your Regulator, Utah, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  39. NASAA Contact Your Regulator, Vermont, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  40. NASAA Contact Your Regulator, Virginia, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  41. NASAA Contact Your Regulator, Washington, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  42. NASAA Contact Your Regulator, West Virginia, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  43. NASAA Contact Your Regulator, Wisconsin, Page as read October 29, 2026.nasaa.org, accessed October 29, 2026
  44. NASAA Exam FAQs, NASAA FAQ, as read October 29, 2026 (list approved May 2024).nasaa.org, accessed October 29, 2026
  45. NASAA Investment Adviser Guide, as read October 29, 2026.nasaa.org, accessed October 29, 2026
  46. IAR CE Requirements Overview.nasaa.org, accessed October 29, 2026

BLS

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  4. Occupational Employment and Wage Statistics, May 2025, state tables.bls.gov, accessed October 29, 2026

Alabama Securities Commission

  1. Alabama Securities Commission (Alabama Securities Act text) fee information, Current as read October 29, 2026.asc.alabama.gov, accessed October 29, 2026

Alabama Legislative Services Agency, Alabama Administrative Code

  1. Ala. Admin. Code ch. 830-X-3 (Alabama Securities Commission), chapter PDF, Current as read October 29, 2026.admincode.legislature.state.al.us, accessed November 2, 2026

Alaska Legislature (akleg.gov), Alaska Administrative Code

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  3. 3 AAC 08.013, Alaska Administrative Code (printable section view), Current as read October 29, 2026.akleg.gov, accessed November 2, 2026

Arizona Corporation Commission, Securities Division

  1. Arizona Corporation Commission, Securities Division fee information, Current as read October 29, 2026.azcc.gov, accessed October 29, 2026

Arizona State Legislature

  1. Arizona State Legislature fee information, Current as read October 29, 2026.azleg.gov, accessed October 29, 2026

Arizona Secretary of State, Arizona Administrative Code

  1. A.A.C. Title 14, Ch. 6 (Corporation Commission, Securities), chapter PDF, R14-6-204(C), Current as read October 29, 2026.apps.azsos.gov, accessed November 2, 2026

Arkansas Securities Department

  1. Arkansas Securities Department (Arkansas Securities Act as published by the Department) fee information, Current as read October 29, 2026.securities.arkansas.gov, accessed October 29, 2026
  2. Rules of the Arkansas Securities Commissioner, 23 CAR 300 (2025 PDF), 23 CAR § 300-302, Current as read October 29, 2026.securities.arkansas.gov, accessed November 2, 2026

Cornell LII

  1. Cornell LII copy of Arkansas Administrative Rules (Rules of the Arkansas Securities Commissioner) rule or page, Current as read October 29, 2026.law.cornell.edu, accessed October 29, 2026
  2. Legal Information Institute (Cornell) copy of New Jersey Bureau of Securities rules fee information, Current as read October 29, 2026.law.cornell.edu, accessed October 29, 2026
  3. Legal Information Institute (Cornell) copy of New Jersey Bureau of Securities rules fee information, Current as read October 29, 2026.law.cornell.edu, accessed October 29, 2026
  4. Legal Information Institute (Cornell) copy of New Jersey Bureau of Securities rules rule or page, Current as read October 29, 2026.law.cornell.edu, accessed October 29, 2026
  5. Legal Information Institute (Cornell) copy of New Jersey Bureau of Securities rules rule or page, Current as read October 29, 2026.law.cornell.edu, accessed October 29, 2026
  6. K.A.R. 81-3-2, agent registration fee.law.cornell.edu, accessed October 29, 2026

California DFPI

  1. California Department of Financial Protection and Innovation (DFPI) website, Current page as read October 29, 2026.dfpi.ca.gov, accessed October 29, 2026
  2. California Department of Financial Protection and Innovation (DFPI) fee information, Current as read October 29, 2026.dfpi.ca.gov, accessed October 29, 2026
  3. California Department of Financial Protection and Innovation (DFPI) fee information, Current as read October 29, 2026.dfpi.ca.gov, accessed October 29, 2026
  4. California Department of Financial Protection and Innovation (DFPI) rule or page, Current as read October 29, 2026.dfpi.ca.gov, accessed October 29, 2026
  5. Information to assist persons applying for an investment adviser certificate; 10 CCR 260.236(c)(3), 260.236 last amended October 24, 2009 (Register 2009, No. 39), page as read October 29, 2026.dfpi.ca.gov, accessed October 29, 2026

Colorado Division of Securities

  1. Colorado Division of Securities (Department of Regulatory Agencies) website, Current page as read October 29, 2026.securities.colorado.gov, accessed October 29, 2026
  2. Notice of Fee Changes, Effective November 2, 2026.securities.colorado.gov, accessed October 29, 2026
  3. Colorado Division of Securities, Securities Rules (effective 1.14.2026), as read October 29, 2026.securities.colorado.gov, accessed October 29, 2026
  4. Colorado Securities Rules, 3 CCR 704-1, Rule 51-4.4(IA) E and G (rules effective January 14, 2026), Rules effective January 14, 2026.securities.colorado.gov, accessed October 29, 2026

Connecticut General Assembly

  1. Connecticut General Assembly fee information, Current as read October 29, 2026.cga.ct.gov, accessed October 29, 2026

Connecticut Secretary of the State, eRegulations System

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Delaware Code Online

  1. Delaware Code Online (Delaware General Assembly) fee information, Current as read October 29, 2026.delcode.delaware.gov, accessed October 29, 2026

Delaware Office of the Registrar of Regulations

  1. Delaware Administrative Code, Title 6, 200 Rules Pursuant to the Delaware Securities Act, Amended by 29 DE Reg. 786 (03/01/26).regulations.delaware.gov, accessed November 2, 2026

District of Columbia Department of Insurance, Securities and Banking

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  3. District of Columbia Department of Insurance, Securities and Banking (DC Municipal Regulations via the DC Office of Documents) rule or page, Current as read October 29, 2026.dcregs.dc.gov, accessed October 29, 2026

Florida Office of Financial Regulation, Division of Securities

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  2. Florida Office of Financial Regulation, Division of Securities fee information, Current as read October 29, 2026.flofr.gov, accessed October 29, 2026
  3. Florida Office of Financial Regulation, Division of Securities rule or page, Current as read October 29, 2026.flrules.org, accessed October 29, 2026

Florida Office of Financial Regulation

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Georgia Secretary of State

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Georgia Secretary of State, Rules and Regulations of the State of Georgia

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  2. Georgia Secretary of State, Rules and Regulations of the State of Georgia rule or page, Current as read October 29, 2026.rules.sos.ga.gov, accessed October 29, 2026

Hawaii Department of Commerce and Consumer Affairs

  1. Haw. Code R. Title 16, Chapter 39 (Securities), DCCA chapter PDF, § 16-39-103, Current as read October 29, 2026.cca.hawaii.gov, accessed November 2, 2026
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Idaho Legislature

  1. Idaho Legislature fee information, Current as read October 29, 2026.legislature.idaho.gov, accessed October 29, 2026
  2. Idaho Code 30-14-402, agent registration requirement (Uniform Securities Act text).legislature.idaho.gov, accessed October 29, 2026
  3. Idaho Code 30-14-404, investment adviser representative registration requirement (Uniform Securities Act text).legislature.idaho.gov, accessed October 29, 2026

Idaho Office of the Administrative Rules Coordinator

  1. IDAPA 12.01.08 (Rules Pursuant to the Uniform Securities Act), current chapter PDF, Section 103, Current as read October 29, 2026.adminrules.idaho.gov, accessed November 2, 2026
  2. IDAPA 12.01.08, current chapter PDF, Section 103, Current as read October 29, 2026.adminrules.idaho.gov, accessed November 2, 2026

Illinois General Assembly, Joint Committee on Administrative Rules

  1. 14 Ill. Adm. Code Part 130, Regulations under Illinois Securities Law of 1953 (ILGA), Part 130 as published by ILGA, read October 29, 2026.ilga.gov, accessed October 29, 2026
  2. 14 Ill. Adm. Code 130.832 Examinations Deemed Satisfactory ... for Registration as a Salesperson, Part 130 as published by ILGA, read October 29, 2026.ilga.gov, accessed October 29, 2026
  3. 14 Ill. Adm. Code 130.843(c) (ILGA copy of Part 130), Added or amended at 49 Ill. Reg. 4061, effective March 19, 2025.ilga.gov, accessed October 29, 2026

Indiana Secretary of State, Securities Division

  1. Indiana Secretary of State, Securities Division fee information, Current as read October 29, 2026.securities.sos.in.gov, accessed October 29, 2026
  2. Indiana Secretary of State, Securities Division fee information, Current as read October 29, 2026.securities.sos.in.gov, accessed October 29, 2026
  3. Indiana Secretary of State, Securities Division rule or page, Current as read October 29, 2026.securities.sos.in.gov, accessed October 29, 2026
  4. Indiana Secretary of State, Securities Division rule or page, Current as read October 29, 2026.securities.sos.in.gov, accessed October 29, 2026

Iowa Legislature

  1. Iowa Legislature fee information, Current as read October 29, 2026.legis.iowa.gov, accessed October 29, 2026
  2. Iowa Legislature rule or page, Current as read October 29, 2026.legis.iowa.gov, accessed October 29, 2026

Kansas Secretary of State, Kansas Administrative Regulations

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  2. K.A.R. 81-14-1, Current as read October 29, 2026.rules.ks.gov, accessed November 2, 2026

Kentucky General Assembly, Legislative Research Commission

  1. Kentucky General Assembly, Legislative Research Commission (Kentucky Revised Statutes) fee information, Current as read October 29, 2026.apps.legislature.ky.gov, accessed October 29, 2026

Kentucky Legislative Research Commission, Kentucky Administrative Regulations

  1. 808 KAR 10:260, Current as read October 29, 2026.apps.legislature.ky.gov, accessed November 2, 2026

Louisiana Office of Financial Institutions

  1. Louisiana Office of Financial Institutions fee information, Current as read October 29, 2026.ofi.la.gov, accessed October 29, 2026
  2. Louisiana Office of Financial Institutions fee information, Current as read October 29, 2026.ofi.la.gov, accessed October 29, 2026
  3. LAC Title 10, Part XIII (Investment Securities), February 2023 edition, §1305, Current as read October 29, 2026.ofi.la.gov, accessed November 2, 2026

Maine Secretary of State, APA rules

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  2. 02-032 C.M.R. ch. 504 (Word file), Current as read October 29, 2026.www1.maine.gov, accessed November 2, 2026
  3. 02-032 C.M.R. ch. 515 (Word file), Current as read October 29, 2026.www1.maine.gov, accessed November 2, 2026

Maryland General Assembly

  1. Maryland General Assembly fee information, Current as read October 29, 2026.mgaleg.maryland.gov, accessed October 29, 2026

Maryland Division of State Documents

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Commonwealth of Massachusetts (mass.gov), Secretary of the Commonwealth Securities Division

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  2. 950 CMR 12.200 PDF, 12.205, Current as read October 29, 2026.mass.gov, accessed November 2, 2026
  3. 950 CMR 12.200 PDF, 12.204, Current as read October 29, 2026.mass.gov, accessed November 2, 2026

Michigan Legislature

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Michigan LARA, Administrative Rules System

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  2. Mich. Admin. Code R 451.1.1 to R 451.6.2 (Uniform Securities Act rules), R 451.4.12, Current as read October 29, 2026.ars.apps.lara.state.mi.us, accessed November 2, 2026

Minnesota Office of the Revisor of Statutes

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  2. Minnesota Office of the Revisor of Statutes rule or page, Current as read October 29, 2026.revisor.mn.gov, accessed October 29, 2026

Mississippi Secretary of State

  1. Mississippi Securities Act Rules, 1 Miss. Admin. Code Pt. 14, updated June 2026, Current as read October 29, 2026.sos.ms.gov, accessed November 2, 2026

Missouri Secretary of State, Code of State Regulations

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Office of the Montana State Auditor, Commissioner of Securities and Insurance

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Montana Legislature

  1. Montana Legislature (Montana Code Annotated) fee information, Current as read October 29, 2026.leg.mt.gov, accessed October 29, 2026

Montana Secretary of State, Administrative Rules of Montana

  1. ARM 6.10.501, Current as read October 29, 2026.rules.mt.gov, accessed November 2, 2026

Nebraska Legislature

  1. Nebraska Legislature fee information, Current as read October 29, 2026.nebraskalegislature.gov, accessed October 29, 2026

Nebraska Secretary of State, Rules and Regulations

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  2. 48 NAC ch. 9, chapter PDF effective 09-18-2024, § 003, Current as read October 29, 2026.rules.nebraska.gov, accessed November 2, 2026

Nevada Legislature

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  2. Nevada Legislature (Nevada Administrative Code) rule or page, Current as read October 29, 2026.leg.state.nv.us, accessed October 29, 2026

New Hampshire General Court

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  2. New Hampshire General Court (RSA 421-B, Uniform Securities Act) rule or page, Current as read October 29, 2026.gc.nh.gov, accessed October 29, 2026

New Mexico State Records and Archives, New Mexico Administrative Code

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  2. 12.11.5 NMAC (part HTML), 12.11.5.17, Current as read October 29, 2026.srca.nm.gov, accessed November 2, 2026

New York Attorney General, Investor Protection Bureau

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  2. New York Attorney General, Investor Protection Bureau fee information, Current as read October 29, 2026.ag.ny.gov, accessed October 29, 2026
  3. 13 NYCRR 11.8, text of revised regulations (New York Department of Law), Current as read October 29, 2026.ag.ny.gov, accessed November 2, 2026
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  5. 13 NYCRR 11.7, text of revised regulations (New York Department of Law), Amended eff. 2/2/2021 (NY State Register December 2, 2020, Vol. XLII, Issue 48).ag.ny.gov, accessed November 2, 2026

North Carolina Department of the Secretary of State, Securities Division

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  5. 18 NCAC 06A rules (NC Secretary of State rules PDF, chapter 06), Amended eff. April 1, 2001, readopted eff. December 6, 2016.sosnc.gov, accessed October 29, 2026

North Dakota Insurance and Securities Department

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  2. North Dakota Insurance and Securities Department rule or page, Current as read October 29, 2026.insurance.nd.gov, accessed October 29, 2026
  3. North Dakota Insurance and Securities Department rule or page, Current as read October 29, 2026.insurance.nd.gov, accessed October 29, 2026

North Dakota Legislative Assembly

  1. North Dakota Legislative Assembly fee information, Current as read October 29, 2026.ndlegis.gov, accessed October 29, 2026

Ohio Legislative Service Commission

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Oklahoma State Courts Network

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Oklahoma Department of Securities

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Oregon Secretary of State, Oregon Administrative Rules Database

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  2. OAR 441-175-0130, Current as read October 29, 2026.secure.sos.state.or.us, accessed November 2, 2026
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Pennsylvania General Assembly

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Pennsylvania Code and Bulletin

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Rhode Island General Assembly

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Rhode Island Department of State

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South Carolina Legislature

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Office of the South Carolina Attorney General, Securities Division

  1. Investment Advisers (Securities registration), Page as read October 29, 2026.scag.gov, accessed October 29, 2026

South Dakota Legislature

  1. South Dakota Legislature fee information, Current as read October 29, 2026.sdlegislature.gov, accessed October 29, 2026

South Dakota Legislature, Administrative Rules of South Dakota

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  2. ARSD 20:08:05:27, Current as read October 29, 2026.sdlegislature.gov, accessed November 2, 2026

Tennessee Secretary of State, Publications Division

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Texas State Securities Board

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  4. 7 Tex. Admin. Code 115.3, Texas State Securities Board Electronic Rulebook, Current as read October 29, 2026.ssb.texas.gov, accessed November 2, 2026
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  6. Board rules for military applicants (7 TAC 115.18 and 116.18).ssb.texas.gov, accessed October 29, 2026

Utah Department of Commerce, Division of Securities

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  2. Utah Department of Commerce, Division of Securities fee information, Current as read October 29, 2026.commerce.utah.gov, accessed October 29, 2026

Utah Office of Administrative Rules

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Vermont General Assembly

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Vermont Department of Financial Regulation

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Virginia General Assembly, Virginia Administrative Code

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Washington State Legislature

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West Virginia State Auditor's Office, Securities Commission

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West Virginia Legislature

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West Virginia Secretary of State, Code of State Rules

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Wisconsin State Legislature, Wisconsin Statutes

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Wisconsin State Legislature, Wisconsin Administrative Code

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  2. Wisconsin State Legislature, Wisconsin Administrative Code rule or page, Current as read October 29, 2026.docs.legis.wisconsin.gov, accessed October 29, 2026

Wyoming Secretary of State

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Wyoming Legislature

  1. Wyoming Legislature (Wyoming Statutes, Title 17) fee information, Current as read October 29, 2026.wyoleg.gov, accessed October 29, 2026

Wyoming Secretary of State, Wyoming Administrative Rules

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  2. Wyo. Admin. Code 002.0017 ch. 10 (Investment Adviser Regulations), effective 02/27/2024, § 5, Current as read October 29, 2026.rules.wyo.gov, accessed November 2, 2026

State securities regulators, compared with NASAA

  1. State securities rules cited in each state.XX.iar-exam-waivers and state.XX.iar-designation-waivers record, Rules as read October 29, 2026.nasaa.org, accessed November 2, 2026

NAIC

  1. State Insurance Departments.content.naic.org, accessed October 29, 2026

GPO

  1. 15 U.S.C. 80b-3a, state and federal responsibilities (Investment Advisers Act Section 203A).govinfo.gov, accessed October 29, 2026
  2. 17 CFR 275.203A-3, definitions including place of business of an investment adviser representative.ecfr.gov, accessed October 29, 2026

The Florida Senate

  1. Florida Statutes 517.12 (2026), military fee waivers for associated persons.flsenate.gov, accessed October 29, 2026

Maine Legislature

  1. 32 M.R.S. 16410(3), renewal fee waiver for Guard and Reserve members on active duty.legislature.maine.gov, accessed October 29, 2026