For CFP® Professionals

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State Licensing Requirement Exemptions

CFP® certification is recognized by almost every state. Below is a list of state licensing requirements from which CFP® professionals are exempt. Please pay attention to the specific requirement at the top of the column from which CFP® professionals are exempt. Also, certain restrictions apply to these exemptions. Those seeking any type of waiver or credit should consult with the appropriate licensing authority.

This service is designed to provide accurate and authoritative information concerning CFP® professional exemptions from state laws and/or rules. It is offered with the understanding that Certified Financial Planner Board of Standards Inc. is not engaged in rendering legal or other professional service. If legal advice or other expert assistance is required, the opinion of proper government agencies or the services of a competent professional person should be sought.* The information contained in this document is offered in good faith, developed from sources deemed to be reliable, and believed to be accurate when prepared, but is offered without warranty, express or implied, as to its merchantability, fitness for a particular purpose, or any other matter. CFP Board and its certificants disclaim all responsibility for any loss or damage arising from reliance on such information by any party.

* Resources

State

Examination Requirements for Investment Adviser/ Investment Adviser Representative Registration

Insurance

Accountancy

Alabama

Series 1, Series 2, Series 24, Series 40, Series 65

Agent Continuing Education

Alaska

IAR: Series 65

Arizona

Series 65

Arkansas

Series 65

California

Series 65

Colorado

Series 65

Connecticut

Series 65

Delaware

Series 65

Automatic continuing education credit for holding a professional designation shall receive an automatic credit of ten (10) credits in each biennium for insurance adjusters, agents, brokers, surplus lines brokers and consultants. Automatic credits may not be applied to satisfy ethics credit requirements.

District of Columbia

Series 65

Florida

Series 65

Georgia

Series 65

Individuals who hold a professional designation that requires CE (other than the CLU, CPCU, FLMI, CIC, CEBS, ChFC or AAI designations) may request CE credit from the insurance department for the number of CE hours completed for the designation.

Hawaii

Series 65

Idaho

Series 65

Illinois

Series 65

Indiana

Series 65 (CFP® professional must provide documentation at time of application)

An applicant for license to write Class 1 insurance who has attained the CERTIFIED FINANCIAL PLANNER™ certification shall only be required to take that portion of the examination pertaining to rules and state laws.

Iowa

Series 65

Kansas

Series 65

Kentucky

Series 65

Louisiana

Does not register investment adviser representatives

Maine

Series 65

Maryland

IA Designated Principals: Series 65
IAR: Series 65

Passage of CFP® Certification Examination equals 15 hours of continuing education credit.

Massachusetts

Series 65

Michigan

Does not register investment adviser representatives

Minnesota

Does not register investment adviser representatives

Mississippi

Series 65

Missouri

Series 65

Montana

Series 65 (CFP® professional must provide documentation at time of application)

Nevada

Series 65

The commissioner will exempt an agent, broker, solicitor, or consultant licensee from the requirements for continuing education if the licensee certifies that he or she has earned and continues to maintain the CFP® certification.

Nebraska

IA Compliance Principal and IAR: Series 65

The commissioner will exempt an agent, broker, or solicitor licensee from the requirements for continuing education if the licensee certifies that he or she has earned and continues to maintain the CFP® certification.

New Hampshire

Series 65

New Jersey

Good cause for waiver from Series 65

New Mexico

Series 65
IA Designated Supervisor:Series 24

New York

Series 65

North Carolina

Series 65

Prelicensing education requirements for life and health license if passed on first attempt. CFP® professional with 4 years of experience as a full-time employee or representative interpreting or explaining insurance policy contracts in the life and health industry will be granted approval to teach prelicensing courses.

North Dakota

Series 65

Ohio

Series 65

Oklahoma

Series 65 (CFP® professional must provide documentation at time of application)

Oregon

Series 65

Agent Pre-Examination Requirements: Three years experience for credit/life lines

Pennsylvania

Series 65 (CFP® professional must submit written request and provide documentation at time of application)

Rhode Island

Series 65
IA: Designated supervisors: Series 24

South Carolina

Series 65

South Dakota

Series 65

Tennessee

Does not register investment adviser representatives

CFP® Certification Examination equals CPE credit awarded at a rate of 5 times the length of exam, limited to 50% of the total CPE required.

CPE credit may be allowed for the successful completion of CFP® Certification Examination. Credit will be awarded at a rate of 5 times the length of each exam taken and limited to 50% of the total CPE required under Rule 0020-5-.03

Texas

Series 65

Life and Health Insurance Counselor license examination

Utah

Series 65

The examination required of Life/Health Consultants

Vermont

Series 65

Virginia

Series 65

Washington

Series 65

West Virginia

Series 65

Wisconsin

Series 65

Wyoming

Does not register investment adviser or investment adviser representatives

CE Credit. 60 days after it is given, the number of classroom hours spent, up to the number of hours credited for passage of the national examination.

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