How to Apply
If you are looking to start your career as a Investment Advisor in North Carolina, the licensing process begins with education. NC mandates specific coursework before you can sit for the Series 65 or Series 66 Exam. Upon passing the exam, you can proceed to file your application with the appropriate North Carolina regulatory board.
Requirements
Before applying for a Investment Advisor license in North Carolina, ensure you meet all eligibility criteria. NC 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 North Carolina.
Fees & Costs
The cost of becoming a licensed Investment Advisor in North Carolina starts at $500 for the application fee. NC requires this fee to be paid at the time of application submission. Factor in additional expenses such as exam fees, background check costs, and any required continuing education. Late renewal penalties in North Carolina can add up to $175 to your costs.
License Fee Calculator — Investment Advisor in North Carolina
Renewal Process
Maintaining your Investment Advisor license in North Carolina requires timely renewal every 1 year. NC sets the renewal fee at $350. You must complete all required continuing education hours and submit proof to the North Carolina board. Failure to renew on time may result in license suspension and reinstatement fees in NC.
License Expiry Calculator — Investment Advisor in NC
Enter your license issue date to see when renewal is due. North Carolina requires renewal every 1 year.
Additional Information
The demand for licensed Investment Advisor professionals in North Carolina continues to grow. NC offers a supportive regulatory environment that balances consumer protection with professional opportunity. The licensing board in North Carolina provides online tools and resources to help applicants navigate the process efficiently. Many Investment Advisor professionals in NC report high job satisfaction and competitive compensation.
Document Checklist — Investment Advisor
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Frequently Asked Questions
License Reciprocity: Can I Use My North Carolina 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) | Partial | AK requires additional exam or paperwork for NC license holders. |
| Alabama (AL) | None | AL does not recognize NC Investment Advisor license. Full re-application required. |
| Arizona (AZ) | Partial | AZ requires additional exam or paperwork for NC license holders. |
| Arkansas (AR) | None | AR does not recognize NC Investment Advisor license. Full re-application required. |
| Colorado (CO) | Full | CO accepts NC Investment Advisor license via reciprocity agreement. |
| Delaware (DE) | Full | DE accepts NC Investment Advisor license via reciprocity agreement. |
| California (CA) | Partial | CA requires additional exam or paperwork for NC license holders. |
| Florida (FL) | Full | FL accepts NC Investment Advisor license via reciprocity agreement. |
Where to File Locally in North Carolina
Visit a licensing department office near you for in-person assistance.
Raleigh
1202 Mail Service Center, Raleigh, NC 27699
(919) 202-3600
Mon-Fri 8:00 AM - 5:00 PM
Charlotte
600 E 4th St, Charlotte, NC 28202
(704) 336-2241
Mon-Fri 8:00 AM - 5:00 PM
Greensboro
300 W Washington St, Greensboro, NC 27401
(336) 373-2000
Mon-Fri 8:00 AM - 5:00 PM
Durham
101 City Hall Plaza, Durham, NC 27701
(919) 560-4000
Mon-Fri 8:00 AM - 5:00 PM
Winston-Salem
101 N Main St, Winston-Salem, NC 27101
(336) 727-2000
Mon-Fri 8:00 AM - 5:00 PM
Official North Carolina Resources
Always verify requirements directly with the North Carolina state board. Regulations may change.
North Carolina Licensing Board
https://www.nclbgc.org
Contact Phone
(919) 202-3600
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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.