SECURITIES DEALER/INVESTMENT ADVISOR License in Texas
Quick Answer
Texas requires both state and third-party exams (Series 65 or Series 7+66), registration through the State Securities Board, and continuing education. Certain convictions are disqualifying.
- 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
SECURITIES DEALER/INVESTMENT ADVISOR license in Texas
Estimated Costs Est.
- Exam Fee
- $305
- Total Estimated Cost
- $500
Cost Breakdown
Estimated costs for getting your SECURITIES DEALER/INVESTMENT ADVISOR license in Texas. 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 Texas licensing board.
SECURITIES DEALER/INVESTMENT ADVISOR Salary in Texas
Entry Level
$47,830
Median
$82,180
Experienced
$229,510
Source: Bureau of Labor Statistics. Salary data is for informational purposes only.
How to Get Licensed
Step-by-step roadmap to becoming a licensed SECURITIES DEALER/INVESTMENT ADVISOR in Texas.
- 1
Complete Education Requirements
No educational requirements
- 2
Submit Background Check
Specific type of conviction prohibited
- 3
Pass the Required Exam
Both state and third-party exams 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.
SECURITIES DEALER/INVESTMENT ADVISOR Licensing in Texas: What to Know
Texas regulates Securities Dealers/Investment Advisors through the State Securities Board. The COS data describes professionals who assist individuals and organizations in transactions involving stocks, bonds, and other securities. Securities dealers and their agents open accounts and effect transactions, while investment advisers provide advice for compensation about investing in securities. Both state and third-party exams are required. Certain types of convictions are prohibited. Continuing education is required to maintain the license. All agents must be registered, maintain accurate records, deal fairly with customers, and observe conduct standards required by governmental and quasi-governmental agencies.
Frequently Asked Questions
- How much does a SECURITIES DEALER/INVESTMENT ADVISOR license cost in Texas?
- The estimated total cost is $500, including application fees, exam fees ($305), and education costs.
- How long does it take to get a SECURITIES DEALER/INVESTMENT ADVISOR license in Texas?
- The process typically takes 2-4 months, depending on education completion and exam scheduling.
- What exam do I need for a SECURITIES DEALER/INVESTMENT ADVISOR license in Texas?
- You need to pass the Series 65 or Series 7 + Series 66. Both state and third-party exams required
Considering another state?
Compare SECURITIES DEALER/INVESTMENT ADVISOR requirements across states.
View all states →Data from CareerOneStop (DOLETA/DEED). Last updated: February 15, 2026.