If you hold the CPA/PFS credential, you can apply to FINRA for a waiver of the Series 65 licensing test.
If you have supplied your individual (not your firm’s) CRD number on your CPA/PFS application, you are included in a file the AICPA sends weekly to FINRA. Check the box on FINRA’s Form U-4 that indicates you hold the CPA/PFS credential; FINRA will compare your U-4 information against the AICPA file (authorizing the Series 65 waiver).
Note that this does NOT waive your need to register with FINRA's Form U-4.
If you receive notice FINRA does not have a record of your PFS, it may be due to a missing/incorrect CRD number on your CPA/PFS application. Contact the AICPA service center at 888.777.7077 to update your CRD number; then, resubmit the U-4 to FINRA.
Return to the CPA/PFS Credential Overview Page