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INVESTMENT ADVISOR REPRESENTATIVE
License Description Act as a representative of an investment adviser. Every individual seeking to become licensed as an investment adviser or an investment adviser representative must pass the examinations. There are waivers available. Investment adviser representative licenses expire concurrently with the investment adviser's license on December 31st. Renewal of investment adviser representative licenses is accomplished as part of the annual renewal sent to investment advisers. Contact the department for specifics.
Licensing Agency
WI Dept of Financial Institutions
Division of Securities
201 W Washington Ave, Suite 300, P.O. Box 1768
Madison, WI 53707-1768
(608) 266 2139
Active Status Active
Criminal Record No criminal record prohibitions
Exam State exam required
License Type Stand-alone license
License Updated 09/10/2024
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