Qualifying For An IA Representative (RA) Registration

Individuals requesting registration as an IA representative (RA registration position) may qualify in several ways if: the individual maintains an existing registration as an IA representative (RA), by fulfilling examination requirements, or by holding a professional designation* accepted by the state(s) as a basis for waiving a qualifying exam requirement or serve as an alternate qualification.

*Note: Firms with individuals that hold the Personal Financial Specialist (PFS) designation with the American Institute of Certified Public Accountants (AICPA) and/or the Chartered Financial Analyst (CFA) designation with the CFA Institute must contact the respective designating authority in order to have the individual’s information forwarded to Web CRD if they wish to request to qualify as an IA representative (RA registration) using one of these professional designations. For additional information regarding the CFA professional designation, please visit the CFA website.

For helpful information regarding the qualification requirements of an IA representative (RA), view the Uniform Forms Reference Guide.