He said he also expects the new Series 65 exam to have questions pertaining to cryptocurrency and other types of digital assets. Everything NRS has to offer is also available on mobile— in fact, it’s been designed to be as mobile friendly as possible. Because of that, you can effortlessly study on the go and maximize the amount of learning you’re doing. Other courses let you access their content on your phone, but those tend to be difficult to navigate due to being designed for desktop. Unlike other courses, Knopman includes a textbook with their course.
It distills all of the test topics down into compact cards that are perfect for quick review and memorization. While our Online Flashcards can be used separately, they are always most effective when used in conjunction with our full-featured study program and are included in our Online Course Package and Everything Package. Looking to supplement a learning package that you are already working with? We stand behind our offer with a no-questions-asked 1-year guarantee on our products.
If you plan to be in the business of providing investment advice for a fee, an exam is in your future. You become qualified to work as a representative of an Investment Advisory Firm only after passing the Series 65. As an addition to the Progress Exam product, two 140-question Greenlight Exams are included.

The goal of the Series 65 Test is to use a standardized testing process to create an objective assessment of a test taker’s knowledge and skills. Finally, the strategies for investment advisors section will test your knowledge of different types of investments and their potential return-related risks. You’ll also be assessed on topics such as portfolio diversification strategies and trading principles used by professionals to generate investor returns.

Series 65 Practice Exams – Where can I find some?

When you choose STC, you’re supported by a company that’s been providing outstanding service and training for more than 50 years. STC offers comprehensive study materials, multiple technology solutions, and the industry’s best instructors who are ready to ensure your success. Choose from three different Exam Prep Packages to get the results you need to take your career to the next level.
You still have to register as an investment advisor, either with the state, or with the SEC if you’re going to be across multiple states and you’re eligible by assets. The professional designations don’t waive the requirement to register as an investment adviser. They just waive the requirement to do the Series 65 exam as part of your overall registration requirements.
If you are with a broker-dealer, you submit a Form U4 in order to apply for the exam. In May 2022, for instance, the New York Times reported that the business publication Forbes was backing out of a deal to be bought by the Hong Kong-based SPAC Magnum Opus Acquisition. They’ve existed for decades but have become a notably popular investment vehicle only in the last few years.
Knopman Marks recommends that you aim for an average score on Qbank exams of at least 75-80% on practice exams including all topics. But, don’t stress over every detail as you read, and don’t spend more than about 1/3 of your overall study time on getting through it. Think of approaching the text like a novel, and read for general concepts and background. The detail you need to comprehend will come from drilling with practice questions over and over. By approaching the text this way, you’ll keep from spending valuable study time on areas that are tested more lightly. The Series 65 Uniform Investment Adviser Law Examination is 140 questions.

By passing the Series 65 Exam, you will join a vast network of investment professionals and will be eligible to register as an Investment Adviser Representative in certain states. Although the exam is described as a “minimum competency” exam, you’ll feel significantly challenged, because the range of material tested is very broad, and the questions can be lengthy and confusing. Be ready for questions on all types of securities products and investment strategies. Kaplan is another name that comes up often when preparing to take financial sector exams, and there’s a good reason for that. A big name in the instruction business, Kaplan provides a rounded experience in Series 65 exam prep course. Paired with their already supportive product, Kaplan’s video library provides short review videos based on actual exam questions.
Still, with the right resources, you are one step closer to becoming an investment adviser representative so don’t let the amount of work required discourage you. The Wiley FINRA Series 65 Exam Review Guide is considered the go-to resource for acing this exam. In 516 pages, this guide comes with in-depth reviews for all the key areas of the exam such as investment strategies, legal and ethical guidelines, analysis, economics, and investment vehicles.
Once your application is complete, a 120-day testing window, in which you can take your exam will be provided. Kaplan’s Premium Instruction package comes with everything anyone needs to successfully pass the Series 65 exam, making it our choice for the most comprehensive premier package. On the downside, you’ll notice that the structure of the guide is not that well-designed and the content comes with lots of errors that are misleading in some cases. Still, in spite of these problems, the Wiley FINRA Series 65 Exam Review 2017 is one of the most recommended resources for the Series 65 exam.
Our most comprehensive study package, the Premium Instruction Package, has everything you need to effectively prepare for your qualification exam, including guidance from an experienced instructor. Start your exam preparation by building a customizable
Study Calendar to schedule daily tasks based on your study time frame and exam date. Begin preparing for your exam by reading the License Exam Manual to ensure a clear understanding of the key exam topics. Practice in areas of weakness by taking custom
quizzes in the SecuritiesPro™ QBank. Then, test your performance with our realistic Practice and Mastery Exams to measure your readiness for the actual securities exam.
If you find tests like that to be easy in general, you’re probably going to find the Series 65 is really easy. The sub-topics addressed in “laws, regulations, and guidelines, including prohibition on unethical business practices” are state and federal Securities Acts, ethical practices, and fiduciary obligations. It costs quite a bit more than normal to add live training to your Knopman course. This one addition drives up Knopman’s cost to the point where it’s no longer more affordable than its competitors.

Series 65 Exam Content Outline

The final examinations and corresponding explanations represent the most important part of your exam preparation. These examinations will assist you in applying the concepts that you learned in the study manual to questions which are posed in the same multiple-choice format used in the actual examination. This comprehensive textbook is the foundation of your qualification exam preparation. The text contains everything you need to know for the exam, broken down into easily digestible units. Kaplan’s team of experts builds the content with a focus on the most recent rules and regulations. Units contain key topics and terms, multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your exam.
NASAA is planning smaller modifications for its Series 63 and 66 tests. The Series 66, for instance, will go from having five questions on economics and business information to eight. The number of questions it has on investment vehicles will, meanwhile, fall from 20 to 17.

But where they truly shine is in their group discounts, making for a great resource if you run a small business. In this video lecture series, we show you how to break down the toughest Series 65 Questions, so you get the correct answer every time! Spend over 10 Hours in 8 class sessions with Robert Walker, author of “Pass The 65 Success Program,” to understand the nuances of breaking down the exam questions to get to the correct answer. Over 12.5 hours of training, providing you with a fun, unique, thorough way of learning the often difficult Series 65 material.
However, we strongly recommend that you begin by taking each exam with the explanations appearing after your answer is selected. By including the corresponding explanations, you have the ability to reinforce the mindset necessary to getting the right answer. The goal is to fully understand the concepts, rather than to simply memorize answers. Regardless of whether your answer is correct, read the entire explanation. Additionally, you can select “Mark for Review” for any question that you want to see again.
The Everything Package is our premium package consisting of a combination of all of the features of our Online Course, Live Class, and Textbook Packages. Remember, this is just a small sampling of the topics covered in our system. Overall, you get our premium-quality flashcards covering everything you’ll need to succeed on the Series 65 Test. We wanted this system to be simple, effective, and fast so that you can succeed on your Series 65 Test with a minimum amount of time spent preparing for it. If you tried to memorize every single possible thing you can for the Series 65 Test, the field of possible things to review would be so huge that you could not hope to cover everything in a reasonable time.
This is an excellent asset if you like studying in a more traditional manner while working through the video lectures. Essentially, this is ideal for anyone who wants to emulate a classroom experience. If you can justify the price tag, Kaplan is definitely a good study choice.
Which means people who are “good at test taking” will find it relatively easy, and for everyone else, it’s still a manageable challenge, as long as you put in the hours to study. Unlike other courses, NRS allows you to build customized tests while you’re studying. That means you can create an unlimited amount of 20 to 50 question exams based on any subjects. Doing so allows you to focus on content areas where you need more practice. Plus, it can help you stay refreshed on subjects you learned earlier without having to repeat full exams on them.
IARs have permission from state regulators to recommend investment plans and manage investment portfolios in return for a fee. Planners who aren’t IARs are legally permitted to do things like help clients with budgets, retirement savings and most insurance purchases. NASAA, which represents state and provincial regulators in the U.S., Canada and Mexico, plans to introduce changes to its Series 63, 65 and 66 exams on June 12. There is no maximum to the number of times you can take this exam. Although there are no scheduled breaks for this exam, you can take a restroom break if necessary. You will receive a whiteboard and dry erase marker, as well as a basic calculator to use during the exam.