Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

Post-Registration Requirements

There are very few post-registration requirements for investment adviser representatives, aside from the IAR not breaking the law and the IAR’s firm renewing his or her registration in a timely manner. The most likely post-registration requirement would be many states’ requirement to engage in some type of continuing education during each renewal period.

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Toyin Daranijoh, Primerica, Kalamazoo, MI

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Maricella Tenorio Bocangel, New York Life, New York, NY

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