This contains topics related to investment recommendations and strategies, including retirement planning, tax planning, and performance measurement. Kaplan does not offer a money-back guarantee, but they do boast an 88% pass rate among students who have completed their course and taken their Series 65 exam. You’ll also have access to the course for five months; if you want more time, an additional five months’ access can be purchased for $49. If you need individual assistance at any time during your course, InstructorLink is an online resource that lets you communicate with experts and get your questions answered within two business days. They also offer a money-back guarantee if you don’t pass the Series 65 exam on the first try. Packages include a mobile e-book along with live chat and phone support.
Finally, the ‘Series 65 Practice Exams and Study Guide’ and the ‘Series 65 Exam Practice Questions’ are great for assessing your knowledge and identifying any weak points in your preparedness. Practice questions play an important role in your study for this exam so make sure to not ignore them. For those of you who are already familiar with the field, the ‘Series 65 Exam Secrets Study Guide’ may be a better pick.
To ensure that we have a quiet and comfortable study space, I work with the student to help select mutually convenient locations. Your instructor may even be able to tailor Series 65 prep sessions to your unique needs. Your tutor may also take the time to really get to know you, allowing them to incorporate some of your non academic interests into your study sessions to make them more interesting. Items such as a cell phone, other electronic devices, and study materials, are prohibited from the testing area. If you bring to the test center any items that are not allowed in the testing area, you will be required to store them in a locker.
This three-hour test is given every day of the week, except Sundays. There are 140 multiple-choice questions, although 130 questions count toward the pass-fail grade. The 32 scored questions in this section test your knowledge of various characteristics of investments. The 20 scored questions in this section test your knowledge of various aspects of business and economics. The Investment Advisers Law Examination (Series 65 exam), administered by the Financial Industry Regulatory Authority (FINRA), is used to assess your knowledge and abilities to perform adequately as an investment adviser.
So Series 65 is a minimum licensing requirement, not a best practice. But it’s something that you can work up towards, and if you start with your Series 65, you can move on to your CFP. Because if you’re going to shift to a more levelized compensation model, most advisors find once their assets grow to a certain point, that it’s hard to justify being on a broker-dealer. You can establish your own RIA, pay your own operating expenses, outsource your investments to a third-party asset manager, and still net more take-home dollars as an advisor. Unless maybe you go to an independent broker-dealer where you can negotiate a much higher grid payout.

Our presentations can be viewed, paused, and repeated at any time, as many times as you like, on any device – no restrictions! Unlike other programs, our lectures are not simple summaries of only portions of the course content but walk you through every point in the course, highlighting key exam items and giving additional insights and examples. Our attorneys specialize in guiding people like you through the Series 65 Exam process and can provide invaluable assistance. Our team will help ensure that you don’t accidentally leave out any important details while completing the exam—something that could cost you valuable time and resources down the road.
Applicants must also be in good standing with regulatory authorities. They should not have been convicted or been found to have engaged in unethical practices in the financial industry. This policy, called the Greenlight Guarantee, does require you to take and pass a greenlight (end-of-course readiness) exam within five days of taking your official Series 65 exam. If you do this, though, and still don’t pass your Series 65, you’ll get a refund for the course. The All Access Pass is an additional $225 and can be purchased separately, without enrolling in a class. It includes a 60-minute live Q&A session, 60-minute live onboarding, live-streamed faculty-led classes, and blended classes.
For a more up to date version, the ‘Wiley FINRA Series 65 Exam Review 2017’ is a great choice. This guide also comes with real-life examples that allow students to apply the theory into practice. The Uniform Investment Adviser Law Examination is a difficult exam and it will require a lot of focus and determination to ace it.

Key Areas Covered by the Series 65 Exam

Achievable is a big name among those working with financial institutions, and there’s a good reason for it! Commonly used as the learning resource for those with Wells Fargo and Goldman Sachs, you can rest assured that the information you are soaking in is of top quality. The test is usually administered by FINRA at designated testing centers and costs $187.
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. After you have reviewed your study materials, our instructor-led
class ensures you fully understand key concepts prior to exam day. The Series 65 Uniform Registered Investment Adviser Law Exam is a comprehensive exam administered by the Financial Industry Regulatory Authority (FINRA).
On your homepage, the “My Scores” button will provide you with a snapshot of your progress. This section provides you with your score per attempt as well as the amount of time spent testing. After completing multiple exams, this function will allow you to identify the topics representing strengths and those representing weaknesses. An easy-to-understand fifteen chapter print self-study manual based upon the FINRA Series 65 content outline. In addition, a PDF version of the study manual is also included and can be downloaded through our online learning portal.
Each time you complete a practice exam in our system your progress is provided in an engaging manner which makes it easy for you to track your progress. Designed
to work with the Solomon Series 65 Study Guide, the Solomon Series 65 Exam Simulator offers thousands of practice
questions so you can hone, track and assess your knowledge. Once you’ve read
the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned. Comes with Pass Probability™, Solomon’s industry-leading AI technology that measures your readiness to pass your exam.
And the fundamental requirement for being a Registered Investment Advisor is that you have to pass the Series 65 exam. So at the point that you’re mostly receiving ongoing AUM-style fees for solutions anyway, it becomes pretty compelling to look at just becoming an RIA. And then you don’t have a broker-dealer who takes a slice of your grid anymore, and you can enjoy better take-home pay. And frankly, if you’re running as an RIA and just charging level AUM fees, you’ve got the streamlined version of the DoL fiduciary rule, called the Level Fee Fiduciary exemption.
Our proven prep packages help you retain information instead of memorizing — so you will pass. Take a look at some Series 65 example questions before you start studying — because the first step to passing the Series 65 exam is understanding what it looks like. The exam is also known as the Uniform Investment Adviser Law Examination.
This option runs $319 and can either be taken as a three-day course or spread out across 23 total days, depending on your schedule and how much time you have to commit to the lessons. There are three class options offered by Securities Training Corporation (STC). All three offer 24/7 tech support, access to the instructor hotline, online and printed study material, final exams, and enrollment for up to six months.
“I purchased the study guide, and I just wanted to let you know that I passed my test. I just want to thank you again, and hope you have continued success in your ventures.” Series 65 Exam Secrets is our exclusive collection of the tips and the information that we have specially selected to give you the best results on the Series 65 Test for the least time spent studying. If you are interested in a different Series test, we’ve developed study guides for most of the FINRA Exam series.

NASAA is a voluntary association of state securities administrators who take responsibility to protect consumers who purchase securities and/or securities investment advice from registered financial professionals. The Uniform Investment Adviser Law Examination and the available study outline were developed by NASAA. The examination, called the Series 65 exam, is designed to qualify candidates as investment adviser representatives. The exam covers topics that have been determined to be necessary to understand in order to provide investment advice to clients. To prepare for the Series 65 exam, we recommend you take a prelicensing exam preparation course. Banker offers prelicensing courses that will prepare you to successfully pass your licensing exam on your first attempt.
This interactive Qbank is regularly updated and consists of prebuilt questions that you can form into custom practice exams. Furthermore, these exams can be printed out or taken online, giving you a great deal of freedom in your studying. The Series 66 exam combines aspects of both the Series 63 and 65 tests. Passing it qualifies a person as both a securities agent and an IAR.
While Kaplan offers solid mid- and lower-range courses, its Premier Instruction package sets the standard for reasonably priced, high-end Series 65 exam prep courses. The combination of a feature-rich study package for every need and budget, leading-edge technology, and a money-back guarantee makes ExamFX our choice as the best overall Series 65 exam prep provider. The Wiley Series 65 Exam Review is authored by experts working at The Securities Institute of America and it offers just the right information for the exam. Now, in order to get to cram all these in your head, you need to find the best resources and study guides available on the market. This is important, because the topics covered in the exam are not readily available online and they require advanced finance and investment knowledge. You’ll also need advice from professionals and the best resource guides offer you exactly this.
Upon completing these steps, the applicant should then receive a letter in the mail saying he or she is a registered representative. Keep in mind that the successful completion of the exam does not give a person the authority to transact business until he or she is officially granted the license or become registered in that state. Each exam should have the same level of difficulty and test on the same content areas. The FINRA designed the test using a process that has achieved great results and that clearly differentiates those candidates who meet the minimum standards from those who do not meet minimal requirements for the job. Luckily, our instructor Suzy Rhoades has been specializing in teaching people with no background how to pass this daunting exam. Series 65 Course Textbook with chapter exams, final exams and a glossary of Series 65 terms.
You can prepare for your qualification exam with this series of short, exam-focused streaming videos designed to provide reinforcement of the core exam topics discussed in the License Exam Manual. The videos are an excellent source of review after you have completed your reading and practice questions and help identify areas in which you may need further clarification. The instructor-led reviews are grouped into categories by major topics. Check out our premium Series 65 study guide to take your studying to the next level. To compliment our Series 65 book, we also offer extensive flashcards for even more Series 65 exam prep help. Your purchase helps us make more great, free Series 65 certification content for test-takers just like yourself.

STC’s published pass rate is 95%, and it offers a money-back guarantee for failing the exam on the first attempt, but only on its Premier and Premier Plus packages. As one of the first to offer exam prep courses in 1969, Securities Training Corp has the experience and expertise to know what students need in their study packages. From its Standard to its Premier Plus, STC offers the most comprehensive package at each price point. According to the author, if you’ve never take a Series 65 practice test, you are not actually prepared for the real test. Such practice questions are important to prepare students for the type of exam and help them time the answers (which is a very important aspect even though the exam takes 3 hours). This is also why the Pass the 65 guide made it its mission to make sure students understand and remember the information explained.
If you’re at a broker-dealer and you’re looking to do all of it together and you’re going to be a hybrid or dual-registered, then you’re probably looking at the Series 66. When we look broadly at the world of financial advisors, the RIA (Registered Investment Advisor) segment is basically the only growing channel of financial advisors that are out there. The total number of brokers at broker-dealers is in decline, the total number of insurance agents is in decline. It is because of a combination of those who are retiring and leaving the industry, in some cases because they’re breaking away from insurance companies or broker-dealers over to becoming Registered Investment Advisors instead. I accepted new business roles and appointments and was later recruited to work with other global derivatives groups (Deutsche, HSBC) overseeing Corporate Derivatives programs, customer options activities, European research… If you fail the exam, your score report will provide information on how you did on the exam overall, as well as an analysis of how you did on each section.
If you score 72% or above on the Benchmark Exam, you should feel confident about your chances for success on the actual Series 65. You’ll also identify areas of weakness that you can fix before the actual exam. Many people seem to think that reading the text isn’t nearly as important as completing practice questions in getting ready for this exam. The Knopman Marks recommendation is that reading the text is a critical, absolutely essential part of the preparatory process. Together with Knopman Marks’ prep course, these Series 65 flashcards will give you the best shot at passing the exam on the first try.

Solomon Exam Prep endeavors to respond to Ask the Professor questions within one business day. Well, I finally was able to take my Series 65 and passed with an 85%. I think that the combination of your Series 65 text along with our other vendor made all the difference. It was good to have an additional reference for clarity and in some cases more detailed and straight forward discussion.
There are no student pass rates published and no exam pass guarantee for the course. The Test Geek video course is broken up into four modules, which include a midterm exam and a final exam. There is no question bank, but downloadable class notes are available. Knopman Marks is our pick for best self-paced course because its 19+ hours of video lectures and mobile tools allow you to study anywhere at any time. Then, you will need to review key concepts related to these topics.
But the bottom line, Charlie, is I don’t think the Series 65 is a horrific exam by any measure. If you were able to get through your life and health okay, and maybe you’ve done your Series 6 as well, I don’t think you’re going to find it any worse than those. If you’re good and comfortable taking tests, you’re probably going to find it really easy. So people who are going standalone RIA typically just do the Series 65 exam.