Investment Advisor License in Maine
Quick Answer
Maine requires passing the Series 65 or Series 7+66 exams and IARD registration through the Department of Professional & Financial Regulation. No formal education or CE requirements.
- Exam
- Series 65 or Series 7 + Series 66
- Total Cost
- $500 (est.)
- Timeline
- 2-4 months
- Background Check
- Required
- Renewal
- Every Annually (December 31)
Requirements
Investment Advisor license in Maine
Estimated Costs Est.
- Exam Fee
- $305
- Total Estimated Cost
- $500
Cost Breakdown
Estimated costs for getting your Investment Advisor license in Maine. Values marked "Est." are extracted from official descriptions.
Enter the cost of your pre-licensing education program
Fees marked "Est." are extracted from official descriptions and may not reflect current pricing. Verify with the Maine licensing board.
How to Get Licensed
Step-by-step roadmap to becoming a licensed Investment Advisor in Maine.
- 1
Complete Education Requirements
No educational requirements
- 2
Submit Background Check
No criminal record prohibitions
- 3
Pass the Required Exam
State exam required — Series 65 or Series 7 + Series 66
- 4
Submit Your Application
File your application with the licensing agency.
- 5
Receive Your License
Processing typically takes 2-4 months.
Investment Advisor Licensing in Maine: What to Know
Maine lists Investment Advisor through the Department of Professional & Financial Regulation, Office of Professional and Occupational Regulation. The COS data describes investment advisors who provide guidance to clients in exchange for specific fees. No formal educational requirements are listed and a state exam is required. No continuing education is mandated. No criminal record prohibitions noted. IARs register through the IARD system.
Frequently Asked Questions
- How much does a Investment Advisor license cost in Maine?
- The estimated total cost is $500, including application fees, exam fees ($305), and education costs.
- How long does it take to get a Investment Advisor license in Maine?
- The process typically takes 2-4 months, depending on education completion and exam scheduling.
- What exam do I need for a Investment Advisor license in Maine?
- You need to pass the Series 65 or Series 7 + Series 66. State exam required
Considering another state?
Compare Investment Advisor requirements across states.
View all states →Data from CareerOneStop (DOLETA/DEED). Last updated: February 15, 2026.