Become an Accredited Investor with a Series 65 License
Recent rule amendments enacted by the SEC have created a new way for anyone (yes, anyone) to qualify as an accredited investor without having to meet the traditional net worth, income or third party verification requirements, and this is possible with only a small investment of time and money.
You’ll have to pass an exam and possibly also register as an investment adviser in your state, but once you have secured this license (which doesn’t require any experience, degree or even sponsorship from a financial services company) you will qualify as an accredited investor and be able to participate in any type of private investment reserved for holders of this unique status.
This book serves as an informative resource to help you learn more about how to take advantage of this new opportunity to easily and quickly qualify for accredited investor status with a Series 65 license.
You’ll have to pass an exam and possibly also register as an investment adviser in your state, but once you have secured this license (which doesn’t require any experience, degree or even sponsorship from a financial services company) you will qualify as an accredited investor and be able to participate in any type of private investment reserved for holders of this unique status.
This book serves as an informative resource to help you learn more about how to take advantage of this new opportunity to easily and quickly qualify for accredited investor status with a Series 65 license.
Gain Access to Private Investments
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Venture Capital
Private Placements
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Private Equity
Equity Crowdfunding
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Hedge Funds
Alternative Investments
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What the Book Covers
Topics covered include:
- Introduction
- New Accredited Investor Definition
- Why the SEC Expanded the Accredited Investor Definition
- Why Use a Series 65 License To Gain Accredited Investor Status
- Accredited Investor Status Has its Privileges
- About the Series 65 Exam
- Who Can Take the Series 65 Exam?
- Where Can You Take the Series 65 Exam?
- Registering for the Series 65 Exam
- Studying for the Series 65 Exam
- After You Pass the Series 65 Exam
- What if You Don’t Pass the Series 65 Exam?
- Proving Your New Series 65 Accredited Investor Status
- Registering as an Investment Adviser in Your State
- Ongoing Compliance Requirements
- Exhibits
About the Author
Rick Cantu is an experienced executive, technology entrepreneur and startup advisor based in Texas. His professional experience includes serving as Senior Financial Advisor with Smith Barney and Morgan Stanley from August 2006 to January 2013. While there, he focused his practice on both individual and corporate clients.
During his tenure in financial services and wealth management, Rick obtained and maintained the Series 7, Series 66 (which combines the Series 65 and Series 63) and Life Insurance licenses and also held several designations for financial planning and portfolio management.
During his tenure in financial services and wealth management, Rick obtained and maintained the Series 7, Series 66 (which combines the Series 65 and Series 63) and Life Insurance licenses and also held several designations for financial planning and portfolio management.