Keyword Analysis & Research: series 65 financial advisor

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Frequently Asked Questions

Does series 65 require sponsorship?

You need sponsorship to take the Series 6 and 7 exams, but you don't need sponsorship for the Series 63 or 65 exams. The Series 6 and 7 exams are FINRA tests (and taking them requires sponsorship from a FINRA-member company), whereas the Series 63 and 65 exams are NASAA tests that are simply administered by FINRA.

What is series 65 securities license?

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

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