Series 66

Nearly five years ago, I acquired this same securities license while with a different Broker/Dealer. A few months ago, the firm (which will remain anonymous for several reasons) announced this license was now a requirement for all brokers I manage, including me. At the time, the announcement was not a big deal considering I assumed that I already had this license. No big deal, right?

Wrong! For unknown reasons to me, the firm did not renew this license and the registration was terminated. What does this mean, you might ask? Well, it means that I had to study and take this exam a second time. Yep, you got it, I was really happy about this!

Regardless, another one under my belt, and I'm happy to have it over with again. Mainly because this summer has a lot of things going on, and this is the last thing I want to focus on!

Series 66 Exam: Uniform Combined State Law Exam
An exam administered by the North American Securities Administrators Association (NASAA). Successful completion of the Series 66 exam is equivalent to the successful completion of both the Series 63 and Series 65 exams. It is required by certain states in America, (in addition to successful completion of the Series 7) in order for an investment professional to qualify for registration as an Investment Advisor Representative.