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Licensing Requirements

License Title:



Act as a representative of an investment adviser.

Every individual seeking to become licensed as an investment adviser or an investment adviser representative must pass the examinations. There are waivers available.

Investment adviser representative licenses expire concurrently with the investment adviser's license on December 31st. Renewal of investment adviser representative licenses is accomplished as part of the annual renewal sent to investment advisers.

Contact the department for specifics

Licensing Authority:
WI Dept of Financial Institutions
Division of Securities
345 W. Washington Ave, 4th floor
P.O. Box 1768
Madison, WI 53707-1768


Occupation Profile
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