How to Apply
Getting licensed as a Investment Advisor in Connecticut starts with meeting the educational prerequisites set by the CT licensing authority. Once you have completed your training, you will need to register for and pass the Series 65 or Series 66 Exam. After passing, submit your application along with all required documents to the Connecticut state board.
Requirements
Before applying for a Investment Advisor license in Connecticut, ensure you meet all eligibility criteria. CT requires candidates to have completed the necessary educational coursework and accumulated the required training hours. All applicants must pass a comprehensive background check and provide proof of identity. Successfully passing the Series 65 or Series 66 Exam is a non-negotiable requirement in Connecticut.
Fees & Costs
The initial application fee for a Investment Advisor license in Connecticut is approximately $500. This fee covers the processing of your application and initial license issuance. CT also charges an examination fee which is typically paid directly to the testing provider. Late application submissions in Connecticut may incur additional penalties of up to $125.
License Fee Calculator — Investment Advisor in Connecticut
Renewal Process
License renewal for Investment Advisor professionals in Connecticut occurs on a 1-year cycle. CT 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 Connecticut at least 60 days before your license expires to ensure uninterrupted practice.
License Expiry Calculator — Investment Advisor in CT
Enter your license issue date to see when renewal is due. Connecticut requires renewal every 1 year.
Additional Information
Working as a Investment Advisor in Connecticut offers numerous opportunities for career growth and professional development. CT has a robust job market for licensed professionals in this field. The state board actively works to streamline the licensing process while maintaining rigorous standards. Connecticut also participates in interstate licensing compacts, which may facilitate practice across state lines for qualified Investment Advisor professionals.
Document Checklist — Investment Advisor
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Frequently Asked Questions
License Reciprocity: Can I Use My Connecticut 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 CT Investment Advisor license. Full re-application required. |
| Alabama (AL) | Partial | AL requires additional exam or paperwork for CT license holders. |
| Arizona (AZ) | None | AZ does not recognize CT Investment Advisor license. Full re-application required. |
| Arkansas (AR) | Partial | AR requires additional exam or paperwork for CT license holders. |
| Colorado (CO) | Partial | CO requires additional exam or paperwork for CT license holders. |
| Delaware (DE) | Partial | DE requires additional exam or paperwork for CT license holders. |
| California (CA) | Partial | CA requires additional exam or paperwork for CT license holders. |
| Florida (FL) | None | FL does not recognize CT Investment Advisor license. Full re-application required. |
Where to File Locally in Connecticut
Visit a licensing department office near you for in-person assistance.
Hartford
450 Columbus Blvd, Hartford, CT 06103
(860) 713-6100
Mon-Fri 8:30 AM - 4:30 PM
New Haven
200 Orange St, New Haven, CT 06510
(203) 946-8200
Mon-Fri 8:30 AM - 4:30 PM
Bridgeport
999 Broad St, Bridgeport, CT 06604
(203) 576-7201
Mon-Fri 8:30 AM - 4:30 PM
Stamford
888 Washington Blvd, Stamford, CT 06901
(203) 977-4150
Mon-Fri 8:30 AM - 4:30 PM
Waterbury
235 Grand St, Waterbury, CT 06702
(203) 574-6712
Mon-Fri 8:30 AM - 4:30 PM
Official Connecticut Resources
Always verify requirements directly with the Connecticut state board. Regulations may change.
Connecticut Licensing Board
https://portal.ct.gov/dcp
Contact Phone
(860) 713-6100
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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.