[Series 65] 64, IAR Definition and Registration Requirements

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The five specific job functions that define an individual as an Investment Adviser Representative (IAR). - The examination requirements for IAR registration, including the Series 65 or the Series 7 and 66 combination. - Which professional designations, such as CFP®, CFA®, and ChFC®, grant a waiver from the Series 65 exam. - The key differences in state registration requirements for IARs of federal-covered advisers versus state-registered advisers. - Common exam traps, including the distinction between clerical duties and activities requiring IAR registration, and the nuances of the de minimis exemption. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep