I am not sure if these 2 exams (FINRA Series 65, and Texas Securities Law exam) are the only requirements that must be met before I can practice. I plan on set up a small LLC to advise which investments to make and to manage pre-existing accounts if the client prefers.
I am currently not in this field, so am not certain if there are other requirements I must meet.
Thank you.The following seems to indicate that only the Series 65 exam is required, but not the Texas Securities Law exam. From: http://www.ssb.state.tx.us/Dealer_And_Investment_Adviser_Registration/Frequently_Asked_Questions.php#two 3.B. Examinations 3.B.2 Q: What examinations are required for registration as an investment adviser? A: In order to register as an investment adviser a person must complete the Uniform Investment Adviser Law Examination (Series 65) or the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). See Rule 116.3.