Keyword Analysis & Research: series 65 financial planner

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Frequently Asked Questions

What is the series 65 Exam for financial advisors?

Series 65. 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, and fiduciary responsibilities.

What is series 65 and how do I get It?

Series 65 is an advisor license. People who have passed this test are legally called registered investment advisors or RIAs. An RIA’s compensation is in the form of fees paid directly by the client.

What is the'series 65'?

What is the 'Series 65'. The Series 65 is an exam and securities license required by most U.S. states for individuals who act as investment advisors.

Can a series 65 license holder sell securities?

Having a Series 65 license allows an adviser to offer fee-based investment advice, but, by itself, does not permit the sale of securities. The exam was developed by the North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA).


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