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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: CANTERBURY CONSULTING INCORPORATED CRD Number: 22875OtherThanAnnual
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How to fill out series 65 license requirements

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How to fill out series 65 license requirements

01
Step 1: Check the eligibility requirements for the Series 65 license. This includes being at least 18 years old and having a valid U.S. address.
02
Step 2: Complete the Uniform Investment Adviser Law Examination (Series 65). This exam tests your knowledge of state securities regulations and investment advisory practices.
03
Step 3: Register with the appropriate regulatory authority. This could be either the Securities and Exchange Commission (SEC) or a state securities agency, depending on the size of the investment advisory firm you plan to work for.
04
Step 4: Submit the necessary application forms and fees to the regulatory authority.
05
Step 5: Pass a background check, including fingerprinting, to ensure you meet the required standards of honesty, integrity, and ethical conduct.
06
Step 6: Once approved, you will receive your Series 65 license and can begin working as an investment adviser representative.

Who needs series 65 license requirements?

01
Anyone who wants to work as an investment adviser representative (IAR) needs to meet the Series 65 license requirements.
02
This includes individuals who provide advice or recommendations on securities and/or manage client portfolios, as well as those who work for investment advisory firms.
03
The Series 65 license is required by the U.S. Securities and Exchange Commission (SEC) and most state securities agencies to ensure that individuals in these roles have the necessary knowledge and qualifications to provide investment advice to clients.
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Series 65 license requirements refer to the qualifications and regulations that individuals must meet in order to become registered as an investment adviser.
Individuals who provide investment advice on a professional basis are required to file series 65 license requirements.
To fill out series 65 license requirements, individuals must complete the necessary forms and provide details about their educational background, work experience, and any disciplinary history.
The purpose of series 65 license requirements is to ensure that individuals who provide investment advice are knowledgeable and qualified to do so.
Information such as educational background, work experience, disciplinary history, and any other relevant qualifications must be reported on series 65 license requirements.
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