Occupational license information for Investment Adviser in US | CareerOneStop

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Investment Adviser
License Description	Any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for comp
Licensing Agency	NC Department of the Secretary of State Securities Division 2 South Salisbury St Raleigh, NC 27601-2903 (919) 814 5500 secdiv@sosnc.gov https://www.sosnc.gov/divisions/securities/for_securities_professionals
Active Status	Active
Certification	Certification may substitute for license requirements
Criminal Record	Specific type of conviction prohibited
Education	No educational requirements
Exam	Third-party exam required
License Type	Stand-alone license
License Updated	04/19/2023
Physical Requirements	No physical requirements

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Occupational license information is from the Analyst Resource Center (ARC).

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