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IARs must be properly registered, and, at a minimum, complete credentialing exams certified by FINRA and other required regulatory agencies. IARs are often required to pass the Series 63 and Series 65 exams, though requirements vary by state.
The investment advisory agreement should clearly outline the fee structure that the advisor will charge for their services. This may include a flat fee, a percentage of assets under management, or a performance-based fee. The agreement should also specify how the fee will be calculated and when it will be due.
Applications for licensure must be submitted electronically using the IARD system. Items to be filed on IARD include Form ADV Parts 1A and 1B, Parts 2A and 2B, and wrap fee brochure, if applicable. These documents make up your firm's application.
Certified Financial Planner (CFP) ? Hold a bachelor's degree, plus 3 years experience. Personal Financial Specialist (PFS) ? Have 75 hours personal financial planning education; also, hold a CPA, which requires a degree, plus 2 years experience.