Occupational license information for Investment Advisers Representative in US | CareerOneStop

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Investment Advisers Representative
License Description	Licensed securities broker-dealers, financial advisers and other investment professionals.
Licensing Agency	New Mexico Regulation & Licensing Department New Mexico Securities Division 2550 Cerrillos Road, Third Floor, P.O. Box 25101 Santa Fe, NM 87505 (505) 476 4500 nona.lane@rld.nm.us and richard.dominguez@rld.nm.us https://www.rld.nm.gov/securities-division/
Active Status	Active
Certification	Certification may substitute for license requirements
Continuing Education	No continuing education requirement to maintain license
Criminal Record	Background check required
Exam	Third-party exam required
License Type	Stand-alone license
License Updated	09/05/2024
Physical Requirements	No physical requirements

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Occupational license information is from the Analyst Resource Center (ARC).

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