Licenses Needed to be a Financial Advisor

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Here is an overview of the FINRA licenses you need to be a financial advisor in the United States. There are a couple way to go about getting licenses to be a financial advisor and this list touches on some but not all of those ways. The series 7 and series 66 are the traditional exams. But it is important to know about the SIE exam for this process. The series 65 is a possible alternative to these. Then you may need to get the insurance licenses depending on your role and the state you work in.

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