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Frequently Asked Questions

What is on the series 66 exam?

What is a Series 66 Exam. The Uniform Combined State Law Examination, also called the Series 66 Exam, is one of two exams that must be completed before an individual is qualified to register with the state as both a general securities agent and as an investment adviser representative.

What is Series 66 certification?

The Series 66 certification was developed by the NASAA based on requests from the industry. The exam is administered by the Financial Industry Regulatory Authority (FINRA), which is also is responsible for processing and disseminating test results.

Does Series 66 expire?

You will have two years between jobs before the license expires. When you cease working for a firm, your employer will file a Form U5 to terminate your registration. Your next employer will file a Form U4, which will re-register you. As long as you do not exceed two years between employers, your Series 66 license will remain active.


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