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IA Representative Registration Requirements
Examination Requirements
An individual applying to be registered as an investment adviser or investment adviser representative under the Act shall provide the commissioner with proof of obtaining a passing score on either of the following as required by K.A.R. 81-14-1(e)(1):
  • Series 65 - The Uniform Investment Adviser Law Examination; or
  • Series 7 – The General Securities Representative Examination and the Series 66 - The Uniform Combined State Law Examination

The examination requirement shall not apply to an individual who currently holds one of the following professional designations:
  • Certified Financial Planner (CFP) awarded by the Certified Financial Planner Board of Standards Inc.
  • Chartered Financial Consultant (ChFC) awarded by the American College, Bryn Mawr, Pennsylvania
  • Personal Financial Specialist (PFS) awarded by the American Institute of Certified Public Accountants
  • Chartered Financial Analyst (CFA) awarded by the Institute of Chartered Financial Analysts
  • Chartered Investment Counselor (CIC) awarded by the Investment Adviser Association