How to Apply
Getting licensed as a Investment Advisor in Rhode Island starts with meeting the educational prerequisites set by the RI 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 Rhode Island state board.
Requirements
Before applying for a Investment Advisor license in Rhode Island, ensure you meet all eligibility criteria. RI 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 Rhode Island.
Fees & Costs
The cost of becoming a licensed Investment Advisor in Rhode Island starts at $500 for the application fee. RI 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 Rhode Island can add up to $175 to your costs.
License Fee Calculator — Investment Advisor in Rhode Island
Renewal Process
Rhode Island requires Investment Advisor license holders to renew their credentials every 1 year. The renewal fee is $350 in RI. Continuing education requirements must be met before the renewal application is submitted. Rhode Island offers both online and mail-in renewal options for licensed professionals.
License Expiry Calculator — Investment Advisor in RI
Enter your license issue date to see when renewal is due. Rhode Island requires renewal every 1 year.
Additional Information
Working as a Investment Advisor in Rhode Island offers numerous opportunities for career growth and professional development. RI 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. Rhode Island 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 Rhode Island 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 RI Investment Advisor license via reciprocity agreement. |
| Alabama (AL) | Partial | AL requires additional exam or paperwork for RI license holders. |
| Arizona (AZ) | Full | AZ accepts RI Investment Advisor license via reciprocity agreement. |
| Arkansas (AR) | Full | AR accepts RI Investment Advisor license via reciprocity agreement. |
| Colorado (CO) | Full | CO accepts RI Investment Advisor license via reciprocity agreement. |
| Delaware (DE) | Full | DE accepts RI Investment Advisor license via reciprocity agreement. |
| California (CA) | None | CA does not recognize RI Investment Advisor license. Full re-application required. |
| Florida (FL) | None | FL does not recognize RI Investment Advisor license. Full re-application required. |
Where to File Locally in Rhode Island
Visit a licensing department office near you for in-person assistance.
Providence
1511 Pontiac Ave, Cranston, RI 02920
(401) 462-9500
Mon-Fri 8:30 AM - 4:00 PM
Warwick
3275 Post Rd, Warwick, RI 02886
(401) 738-2000
Mon-Fri 8:30 AM - 4:00 PM
Cranston
869 Park Ave, Cranston, RI 02910
(401) 461-1000
Mon-Fri 8:30 AM - 4:00 PM
Pawtucket
137 Roosevelt Ave, Pawtucket, RI 02860
(401) 728-0500
Mon-Fri 8:30 AM - 4:00 PM
Newport
43 Broadway, Newport, RI 02840
(401) 845-5300
Mon-Fri 8:30 AM - 4:00 PM
Official Rhode Island Resources
Always verify requirements directly with the Rhode Island state board. Regulations may change.
Rhode Island Licensing Board
https://dbr.ri.gov
Contact Phone
(401) 462-9500
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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.