No. Unlike a broker-dealer, we don’t hold security licenses. Usually, a series 65 or 66 are required for an IAR, however that’s dictated on a state-by-state basis. Only states register IARs, not the SEC, but those who must be registered include individuals working for both state and SEC-registered firms.  Based on active credentials, (i.e., CFP, CFA) you may qualify for an exemption with certain states. Through our onboarding and registration process, we’ll ensure you have the proper registration and/or notice filings with the required states as well as the proper licenses.