How to Apply
To obtain your Investment Advisor license in Arizona, you must first complete the state-mandated pre-licensing education requirements. Arizona requires all applicants to pass the Series 65 or Series 66 Exam before submitting their application to the state licensing board. The application process in AZ is straightforward but requires careful attention to detail and documentation.
Requirements
To qualify for Investment Advisor licensure in Arizona, candidates must satisfy several prerequisites. AZ mandates completion of an approved training program, successful passage of the Series 65 or Series 66 Exam, and a clean criminal background check. Additional requirements may include proof of residency and professional references as determined by the Arizona regulatory authority.
Fees & Costs
Arizona sets the Investment Advisor license application fee at $500. This is a one-time fee for new applicants in AZ. Additional costs may include fingerprinting fees, background check fees, and exam registration. The total out-of-pocket cost for new licensees in Arizona typically ranges from $500 to $700.
License Fee Calculator — Investment Advisor in Arizona
Renewal Process
Maintaining your Investment Advisor license in Arizona requires timely renewal every 1 year. AZ sets the renewal fee at $350. You must complete all required continuing education hours and submit proof to the Arizona board. Failure to renew on time may result in license suspension and reinstatement fees in AZ.
License Expiry Calculator — Investment Advisor in AZ
Enter your license issue date to see when renewal is due. Arizona requires renewal every 1 year.
Additional Information
Arizona takes professional licensing seriously, and the Investment Advisor field is no exception. The state board in AZ regularly updates its requirements to align with industry standards and protect public safety. As a licensed Investment Advisor in Arizona, you will be expected to maintain high ethical standards and stay current with developments in your field. The AZ licensing board provides resources and support to help professionals meet their obligations.
Document Checklist — Investment Advisor
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Frequently Asked Questions
License Reciprocity: Can I Use My Arizona Investment Advisor License in Other States?
Reciprocity varies by state. Always verify with the destination state's licensing board before practicing.
| Destination State | Reciprocity | Notes |
|---|---|---|
| Alaska (AK) | None | AK does not recognize AZ Investment Advisor license. Full re-application required. |
| Alabama (AL) | None | AL does not recognize AZ Investment Advisor license. Full re-application required. |
| Arkansas (AR) | Partial | AR requires additional exam or paperwork for AZ license holders. |
| Colorado (CO) | Partial | CO requires additional exam or paperwork for AZ license holders. |
| Delaware (DE) | Partial | DE requires additional exam or paperwork for AZ license holders. |
| California (CA) | Full | CA accepts AZ Investment Advisor license via reciprocity agreement. |
| Florida (FL) | Full | FL accepts AZ Investment Advisor license via reciprocity agreement. |
| Iowa (IA) | None | IA does not recognize AZ Investment Advisor license. Full re-application required. |
Where to File Locally in Arizona
Visit a licensing department office near you for in-person assistance.
Phoenix
1400 W Washington St, Phoenix, AZ 85007
(602) 542-4373
Mon-Fri 8:00 AM - 5:00 PM
Tucson
400 W Congress St, Tucson, AZ 85701
(520) 628-6504
Mon-Fri 8:00 AM - 5:00 PM
Mesa
20 E Main St, Mesa, AZ 85201
(480) 644-2011
Mon-Fri 8:00 AM - 5:00 PM
Scottsdale
3939 N Drinkwater Blvd, Scottsdale, AZ 85251
(480) 312-3111
Mon-Fri 8:00 AM - 5:00 PM
Tempe
31 E 5th St, Tempe, AZ 85281
(480) 350-4311
Mon-Fri 8:00 AM - 5:00 PM
Official Arizona Resources
Always verify requirements directly with the Arizona state board. Regulations may change.
Arizona Licensing Board
https://azroc.gov
Contact Phone
(602) 542-1525
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US License Guide is a private informational resource and is not affiliated with, endorsed by, or connected to any federal, state, or local government agency. The information provided on this website is for general guidance purposes only and should not be considered legal or professional advice. Licensing requirements, fees, and procedures may change without notice. Always verify current requirements directly with your state's official licensing board before making any decisions. Use of this site does not create any professional-client relationship.