Series 65

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What is the 'Series 65'

The Series 65 is a securities license required by most U.S. states for individuals who act as investment advisors. The Series 65 exam, called the Uniform Investment Adviser Law Examination, covers laws, regulations, ethics and topics such as retirement planning, portfolio management strategies and fiduciary responsibilities.

BREAKING DOWN 'Series 65'

Successful completion of the Series 65 exam qualifies an investment professional to function as an Investment Adviser Representative in certain states. The Series 65 qualification examination has 130 multiple choice questions with three hours of testing time and is administered by FINRA.

Other FINRA administered qualification examinations include Series 3 National Commodity Futures (CR); Series 7 General Securities Representative (GS); and Series 63 Uniform Securities Agent State Law.

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RELATED FAQS
  1. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

    Becoming an investment adviser representative requires more examination than just taking the FINRA Series 63 exam. See what ... Read Answer >>
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    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities ... Read Answer >>
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    After having written the Series 6 examination, there would be significant overlap with the Series 7 in areas such as mutual ... Read Answer >>
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