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Frequently Asked Questions

What is pass rate of Series 66?

Passing scores will remain at 72%, with the exception of the passing score on the Series 66 being reduced from 75% to 73%. Specifically, the Series 63 finally recognizes that is the agent’s exam, not the test for investment advisers.

What is the series 65 license?

What is the 'Series 65'. 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. The exam is designed by the North American Securities Administrators Association...

What is a FINRA license?

Holding a FINRA license is in reality passing an exam and being registered with FINRA through a BD. Different licenses allow you to perform different functions. A Series 7 exam (General Securities Representative)allows you to solicit and interact with customers regarding just about any security in the U.S.

What is Series 66?

The Series 66 is an exam and license that is meant to qualify individuals as investment adviser representatives or securities agents.


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