Keyword Analysis & Research: series 65 finra license

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Frequently Asked Questions

What are the requirements for a series 65 license?

To obtain a Series 65 license, candidates must achieve a passing score on the Series 65 exam, remit all application and registration fees to applicable state regulatory authorities, file necessary disclosure documents, and wait to receive formal acceptance and acknowledgment of certification.

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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