Under SEC law, a company that offers its own securities must register these investments with the SEC before it can sell them unless it meets an exception. One of those exceptions is selling unregistered investments to accredited investors.
To become an accredited investor the (SEC) requires certain wealth, income or knowledge requirements. The investor must fall into one of three categories. Firms selling unregistered securities must put investors through their own screening process to determine if investors can be considered an accredited investor.
The Verifying Individual or Entity should take reasonable steps to verify and determined that an Investor is an "accredited investor" as such term is defined in Rule 501 of the Securities Act, and hereby provides written confirmation. This letter serves to help the Entity determine status.
Oregon Accredited Investor Certification
State:
Multi-State
Control #:
US-ENTREP-0011-8
Format:
Word;
Rich Text
Instant download
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How to fill out Accredited Investor Certification?
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The Series 7 requires the investor to be sponsored by a member of FINRA and the Series 82 is similar requiring employment by a FINRA member securities firm. As these will be some blockers for most, the Series 65 will be the fastest path for most.
The Series 65 license, known as the Uniform Investment Adviser Law Examination, qualifies individuals to provide investing and general financial advice to clients. Passing the Series 65 exam qualifies individuals as Investment Advisor Representatives (IARs).
To claim accredited investor status, you must meet at least one of the following requirements: Hold (in good standing) a Series 7, 65 or 82 license. Have a net worth exceeding $1 million individually or combined with a spouse or spousal equivalent (excluding the value of the primary residence)
To qualify as an accredited investor, you must have over $1 million in net worth, or more than $200,000 in earned income in the past two calendar years, with the expectation of the same earnings. Financial professionals with Series 7, 65 or 82 licenses also qualify.
Choose Your Path to Certification Earn 4-Year Degree. A bachelor's degree in any discipline is required. ... Complete CFP® certification coursework. ... Pass CFP® Exam. ... Accumulate experience. ... Meet Ethics Requirement. ... Earn CFP® Certification.
After you pass the Series 65 test, you will complete your license application with a background check and paying state fees. During the licensing process, you can check the status of your license through FINRA's Central Registration Depository (CRD).
How to Get the Series 65 License Step 1: Prepare for the Series 65 license with STC exam prep. ... Step 2: You must be age 18 or older to sit for the Series 65 exam. Step 3: Find a member firm to sponsor you. To take the Series 65 exam, you must be associated with and sponsored by a member firm.
To become an accredited investor via the Series 65 exam, one must also register with either the state or SEC as an Investment Advisor Representative for a Registered Investment Advisor (RIA) once they pass the exam. The RIA can be the individual's own firm.
