Q151 - What Licenses Do I Need For The RIA Model?

Transition To RIA Podcast · Jun 25, 2026 · 21m

In most scenarios, passing the Series 65 exam is the prerequisite to become licensed as an Investment Advisor Representative.

However, there are scenarios where the 66, a CFP, or maybe even a 7 are still applicable.

It's important to understand how your practice profile, both today and going forward, impacts the licenses you may need in the RIA model.

In this episode (#151) of the Transition To RIA question & answer series, I break down the licensing scenarios to be aware of.

Come take a listen!

P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the…