Louisiana Investment Adviser Representative Registration Requirements

An ordinary Louisiana investment-adviser representative files Form U4 through CRD. Louisiana charges no IAR filing fee, although separate CRD processing fees may apply. Qualification is Series 65 or Series 7 plus Series 66, with CFP, ChFC, PFS, CFA, or CIC alternatives under current OFI instructions. Registration expires December 31 and renews annually. Fingerprints are submitted as directed, except for an applicant pending with a FINRA-member firm whose fingerprints were submitted and processed by FINRA for that firm, and the statutory January 1, 2019 grandfathered class unless the person later applies with a different adviser; OFI states that representatives registered before December 31, 2023 may rely on that grandfathered exclusion under its extension. Dual registration is permitted only for affiliated firms; otherwise the prior registration must be cancelled. No separate Louisiana IAR CE or EVEP adoption is asserted.