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What Is The Easiest License For Accredited Investor Status?

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Accredited investors are individuals or entities who meet specific financial criteria and are granted access to a broader range of investment opportunities.

While the Series 7 license is often considered the starting point in the financial industry, it requires sponsorship from a firm to take the exam.

This article will explore an alternative option that offers a more accessible pathway to becoming an accredited investor – the Series 65 license.

Series 7: An Entry-Level Exam Requiring Sponsorship

The Series 7 license is widely recognized as an entry-level exam for individuals seeking to enter the financial industry as registered representative.

This license qualifies individuals to sell a wide range of securities, including stocks, bonds, mutual funds, and options. However, one crucial requirement for taking the Series 7 exam is that a firm must sponsor an individual.

This means that you would need a financial institution or broker-dealer to support your application to pursue this license.

While the Series 7 license is highly regarded, its sponsorship requirement can present an obstacle for aspiring accredited investors.

Series 65: A Simpler Path to Accredited Investor Qualification

To meet the accredited investor qualification without relying on firm sponsorship, the Series 65 license is a viable alternative.

The Series 65 exam, also known as the Uniform Investment Adviser Law Examination, is specifically designed for individuals who wish to provide investment advice and services as registered investment advisers (RIAs).

Unlike the Series 7, the Series 65 exam does not require sponsorship, making it more accessible for those seeking to establish themselves as accredited investors.

Key Benefits of the Series 65 License

  1. No sponsorship requirement: As previously mentioned, the absence of a sponsorship requirement is a significant advantage of the Series 65 license. This means that aspiring accredited investors can pursue this license independently without needing the backing of a financial institution or broker-dealer.
  2. Focus on investment advisory services: The Series 65 exam focuses on investment advisory services and regulatory compliance. It covers topics such as economics, portfolio management, ethics, and legal guidelines. This comprehensive knowledge equips individuals with the necessary skills to provide sound investment advice to clients.
  3. Wide range of career opportunities: Obtaining the Series 65 license opens up various career opportunities in the financial industry. With this license, individuals can work as investment advisers, financial planners, portfolio managers, or even start their own investment advisory firms.


While the Series 7 license is often perceived as an entry-level exam, its sponsorship requirement can make it challenging for aspiring accredited investors.

In contrast, the Series 65 license offers a more accessible pathway to qualify as an accredited investor. By eliminating the need for firm sponsorship, the Series 65 license allows individuals to pursue this designation independently.

Ultimately, the choice between the Series 7 and Series 65 licenses depends on an individual's career aspirations and specific financial industry goals.

This article was generated using automation technology, and thoroughly edited and fact-checked by an editor on our editorial staff.

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