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Frequently Asked Questions

Can a ria representative take the series 65 exam?

The Series 65 is solely an examinations that is a pre-requisite for becoming a representative of an registered investment advisor (RIA) firm. Unfortunately, you cannot “hang” any previous licenses as part of your registered investment advisory firm (e.g. Series 7, etc.).

What's the difference between Series 63 and Series 66?

Series 66 The Series 66 exam is relatively new. It was created by NASAA in response to requests from broker-dealers and other financial services firms. It is essentially a combination of Series 63 and Series 65, but since a prerequisite for taking the exam is successful completion of the Series 7 exam,...

Can a ria hold a series 7 credential?

The active Series 7 and 66 combination is generally recognized as an acceptable alternative to the Series 65. In some ways, the Series 7 credential is incompatible with the fiduciary relationship required of RIAs. An RIA is bound by law to put the client's needs first.

Do you have to take series 65 or 66 for IAR?

It will, like the Series 65, qualify the individual to act as an IAR, and it fulfills the requirements of the USA for state registration. Note that candidates can take the 66 or 7 in any order, but both must be completed in order to register.

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