Understanding the Series 66 Licence and CRPC Designation

Series 66 Licence pic
Series 66 Licence
Image: investopedia.com

Charles (Chad) Pouliot began his professional career as a client associate at Merrill Lynch in 2007, just prior to the market crash, when he experienced firsthand how to succeed in a financial crisis. Now at Procyon Private Wealth and Institutional Partners, he serves as a senior vice president and independent wealth advisor. Chad Pouliot is a Chartered Retirement Planning Counselor (CRPC®) and holds various licences including the Series 66, 63 and 65.

To obtain these licenses, a candidate must pass exams conducted by the Financial Industry Regulatory Authority (FINRA). In passing the demanding exams, a candidate has proven his or her competency in the role of a general securities representative.

After passing the two-and-a-half-hour Series 66 exam (North American Securities Administration Association Uniform Combined State Law Examination), the individual is licensed to solicit the sale or purchase of securities and act or solicit for investment advisory services in all US states. The Series 66 exam’s corequisite is the Series 7 exam.

The CRPC program was achieved by Chad Pouliot in efforts to develop a focus on client-centered problem solving. His designation afforded him to gain in-depth knowledge of individuals’ needs both before and after retirement. The College for Financial Planning describes the program as helping financial planners and advisers define and create a “road map for retirement” for their clients. The study program to become a CRPC covers the entire retirement planning process, including meeting multiple financial objectives, sources of retirement income, personal savings, employer-sponsored retirement plans, income taxes, retirement cash flow, asset management, estate planning and mor


A Look at the CRPC Certification Program


College for Financial Planning pic
College for Financial Planning
Image: cffp.edu

Charles “Chad” Pouliot leverages more than a decade of experience in the wealth management industry as a Senior Vice President at Procyon Private Wealth Partners, LLC. A former Senior Vice President at Merrill Lynch, Chad Pouliot also holds the Chartered Retirement Planning Counselor (CRPC®) designation.

The CRPC® is awarded by the College for Financial Planning, a leading education provider for professionals in the financial services industry. Founded in 1972, the organization holds accreditation from the Higher Learning Commission (HLC).

The coursework or individuals who hold the CRPC® designation includes a course of study encompassing pre-and post-retirement needs, asset management, estate planning and the entire retirement planning process using models and techniques from real client situations. Additionally, individuals must pass an end-of-course examination that tests their ability to synthesize complex concepts and apply theoretical concepts to real-life situations. All designees have agreed to adhere to Standards of Professional Conduct and are subject to a disciplinary process. Designees renew their designation every two-years by completing 16 hours of continuing education, reaffirming adherence to the Standards of Professional Conduct and complying with self-disclosure requirements.

For additional information on the certification, or to enroll, visit cffpinfo.com.

New York-Based Advisory Firm Senior Vice President