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Frequently Asked Questions

What is the best way to study for the series 65 exam?

While preparing for the exam, take care for yourself: Do some physical exercise Eat foods that are good for you and that promote concentration Allow yourself some downtime for doing things you really love and that are NOT connected to the Series 65 exam Talk to colleagues also going through the testing process (but do NOT compare notes about how far along you are in your studies) More items...

Where do I take the series 65 exam?

The Series 65 Exam is administered at Prometric testing centers in the U.S., Canada, Mexico and U.S. territories. Passing the Series 66 Exam qualifies a candidate to register as an investment adviser representative and as a securities agent.

Can anyone take the series 65 exam?

Yes. Most state securities regulators will require an individual to take the Series 65 examination again if it has been two years since the individual has been registered as an investment advisor representative in any jurisdiction.

Do I need a sponsor to take the series 65 exam?

You do not need a sponsor to sit for the Series 65 exam. Individual applicants (those not affiliating with an existing firm) can submit a U-10 form. Just fill in "Not Applicable" where the form requests a sponsor.


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