How to Apply
To obtain your Investment Advisor license in New York, you must first complete the state-mandated pre-licensing education requirements. New York 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 NY is straightforward but requires careful attention to detail and documentation.
Requirements
To qualify for Investment Advisor licensure in New York, candidates must satisfy several prerequisites. NY 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 New York regulatory authority.
Fees & Costs
The initial application fee for a Investment Advisor license in New York is approximately $500. This fee covers the processing of your application and initial license issuance. NY also charges an examination fee which is typically paid directly to the testing provider. Late application submissions in New York may incur additional penalties of up to $125.
License Fee Calculator — Investment Advisor in New York
Renewal Process
Your Investment Advisor license in New York must be renewed every 1 year. The renewal fee in NY is $350. New York requires completion of continuing education credits before renewal. Submit your renewal application at least 30 days before expiration to avoid late fees. Practicing with an expired license in NY can result in fines and disciplinary action.
License Expiry Calculator — Investment Advisor in NY
Enter your license issue date to see when renewal is due. New York requires renewal every 1 year.
Additional Information
The demand for licensed Investment Advisor professionals in New York continues to grow. NY offers a supportive regulatory environment that balances consumer protection with professional opportunity. The licensing board in New York provides online tools and resources to help applicants navigate the process efficiently. Many Investment Advisor professionals in NY report high job satisfaction and competitive compensation.
Document Checklist — Investment Advisor
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Frequently Asked Questions
License Reciprocity: Can I Use My New York 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 NY Investment Advisor license. Full re-application required. |
| Alabama (AL) | None | AL does not recognize NY Investment Advisor license. Full re-application required. |
| Arizona (AZ) | Full | AZ accepts NY Investment Advisor license via reciprocity agreement. |
| Arkansas (AR) | Partial | AR requires additional exam or paperwork for NY license holders. |
| Colorado (CO) | Partial | CO requires additional exam or paperwork for NY license holders. |
| Delaware (DE) | Partial | DE requires additional exam or paperwork for NY license holders. |
| California (CA) | None | CA does not recognize NY Investment Advisor license. Full re-application required. |
| Florida (FL) | Full | FL accepts NY Investment Advisor license via reciprocity agreement. |
Where to File Locally in New York
Visit a licensing department office near you for in-person assistance.
Albany
99 Washington Ave, Albany, NY 12231
(518) 474-4429
Mon-Fri 8:30 AM - 4:30 PM
New York City
123 William St, New York, NY 10038
(212) 417-5747
Mon-Fri 9:00 AM - 5:00 PM
Buffalo
65 Court St, Buffalo, NY 14202
(716) 851-4000
Mon-Fri 8:30 AM - 4:30 PM
Rochester
30 Church St, Rochester, NY 14614
(585) 428-5990
Mon-Fri 8:30 AM - 4:30 PM
Syracuse
233 E Washington St, Syracuse, NY 13202
(315) 448-8005
Mon-Fri 8:30 AM - 4:30 PM
Official New York Resources
Always verify requirements directly with the New York state board. Regulations may change.
New York Licensing Board
https://www.dos.ny.gov
Contact Phone
(518) 474-4429
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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.