License for financial advisor in pa

Exam requirements at both the sate and federal level can be waived for individuals who have submitted a Pennsylvania Securities Commission exam waiver showing they have completed at least one of the professional designations listed here:. Investment Adviser Representatives: There are no continuing education requirements once the Series 65 exam has been completed. Sole proprietors will be in charge of maintaining the integrity of their own file. Employees of a firm will notify their SAA of any changes to the following:.

Featured Programs:. Request Info. Sponsored Content. Hefren-Tillotson, Inc. Gary A. Steven M. Ameriprise Financial Services, Inc. Victoria A. Videre Wealth Management, Inc. Anthony R. Russell J. Marva L. Edward E. James A. DeGaetano, Jr. Philip Hilf, Jr. Junto Wealth E Swedesford Rd. There are countless IA firms, including national, international and regional, across Pennsylvania.

Investment adviser representatives who prefer to work for themselves by establishing a sole proprietorship or LLC, may also license their own IA firm through the Pennsylvania Securities Commission. Stockbrokers in Pennsylvania are also regulated by the Pennsylvania Securities Commission. This includes completion of a computerized refresher training program after having been licensed for two years, and then every three years after that.

These training programs are updated often so as to present relevant info in the ever-changing financial services regulatory environment.

Additionally, all firms must provide continuing education through training programs conducted in-house or sponsored by firms off-site. These are designed to keep agents abreast of any changes in regulations as they pertain to sales tactics and financial vehicles. The Pennsylvania Insurance Department handles the responsibility of licensing life insurance producers, who may also sell fixed annuities so as to market themselves as financial planners in the state.

Pre-licensing education requirements of 24 credit hours through a Pennsylvania Insurance Department-approved provider must be fulfilled prior to a license being granted.

Three hours of that education must be in ethics studies. Twenty-four hours of continuing education must be completed biannually to maintain your insurance producer license. The sale of variable annuities requires additional licensure through the Pennsylvania Securities Commission. Featured Programs:. Request Info. Sponsored Content.