Yes. Certain professionals designations, held in good standing and reported to FINRA, such as Certified Financial Planner (“CFP”), Chartered Financial Analyst (“CFA”), Personal Financial Specialist (“PFS”), Chartered Financial Consultant (“ChFC”) or Chartered Investment Counselor (“CIC”) will typically enable an advisor to request an exemption from the exam requirements in most states.
The applicant is still required to apply for registration as an IAR by filing a Form U4 and paying the associated registration fees to the applicable state securities regulator.
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