How to Apply
To obtain your Investment Advisor license in California, you must first complete the state-mandated pre-licensing education requirements. California 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 CA is straightforward but requires careful attention to detail and documentation.
Requirements
The California licensing board sets clear requirements for aspiring Investment Advisor professionals. These include age verification (minimum 18), completion of state-approved education, and passing the Series 65 or Series 66 Exam. CA also requires a thorough background investigation and may request additional documentation depending on your specific circumstances.
Fees & Costs
California sets the Investment Advisor license application fee at $500. This is a one-time fee for new applicants in CA. Additional costs may include fingerprinting fees, background check fees, and exam registration. The total out-of-pocket cost for new licensees in California typically ranges from $500 to $700.
License Fee Calculator — Investment Advisor in California
Renewal Process
License renewal for Investment Advisor professionals in California occurs on a 1-year cycle. CA charges a renewal fee of $350 and mandates continuing education as part of the renewal process. It is recommended to begin the renewal process in California at least 60 days before your license expires to ensure uninterrupted practice.
License Expiry Calculator — Investment Advisor in CA
Enter your license issue date to see when renewal is due. California requires renewal every 1 year.
Additional Information
California takes professional licensing seriously, and the Investment Advisor field is no exception. The state board in CA regularly updates its requirements to align with industry standards and protect public safety. As a licensed Investment Advisor in California, you will be expected to maintain high ethical standards and stay current with developments in your field. The CA 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 California 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) | Full | AK accepts CA Investment Advisor license via reciprocity agreement. |
| Alabama (AL) | Partial | AL requires additional exam or paperwork for CA license holders. |
| Arizona (AZ) | None | AZ does not recognize CA Investment Advisor license. Full re-application required. |
| Arkansas (AR) | Full | AR accepts CA Investment Advisor license via reciprocity agreement. |
| Colorado (CO) | Full | CO accepts CA Investment Advisor license via reciprocity agreement. |
| Delaware (DE) | Full | DE accepts CA Investment Advisor license via reciprocity agreement. |
| Florida (FL) | None | FL does not recognize CA Investment Advisor license. Full re-application required. |
| Iowa (IA) | Full | IA accepts CA Investment Advisor license via reciprocity agreement. |
Where to File Locally in California
Visit a licensing department office near you for in-person assistance.
Sacramento
1625 N Market Blvd, Sacramento, CA 95834
(916) 574-7170
Mon-Fri 8:00 AM - 5:00 PM
Los Angeles
320 W 4th St, Los Angeles, CA 90013
(213) 897-3722
Mon-Fri 8:00 AM - 5:00 PM
San Francisco
455 Golden Gate Ave, San Francisco, CA 94102
(415) 557-3261
Mon-Fri 8:00 AM - 5:00 PM
San Diego
1350 Front St, San Diego, CA 92101
(619) 525-4235
Mon-Fri 8:00 AM - 5:00 PM
San Jose
100 Paseo De San Antonio, San Jose, CA 95113
(408) 277-4102
Mon-Fri 8:00 AM - 5:00 PM
Official California Resources
Always verify requirements directly with the California state board. Regulations may change.
California Licensing Board
https://www.dca.ca.gov
Contact Phone
(800) 952-5210
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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.