Series 65

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Series 65

A license, granted by FINRA, entitling a holder to act as an investment adviser representative, who assists a registered investment adviser. In order to be eligible for a series 65, one must complete an exam covering a number of topics, including law & regulation, various investment vehicles, and ethics. There is no prerequisite for a series 65. See also: Series 7.
References in periodicals archive ?
A graduate of the University of California, Davis, the University of Texas, Austin and the College of Financial Planning, Kerins holds the Series 7, Series 63 and Series 65 licenses.
A graduate of Columbia University, Lifschutz holds the Series 7, Series 63 and Series 65 licenses and the Certified Financial Planner (CFP) designation.
with a bachelor's degree in psychology and held NASD Series 2 and Series 65 licenses.
He holds Series 7, Series 63, Series 65 licenses, and a B.
A graduate of Vassar College in New York, Frank holds Series 3, Series 7, Series 63 and Series 65 licenses from the National Association of Securities Dealers, as well as licenses from the California Department of Real Estate and the California Department of Insurance.
Crespo obtained his Series 7 and Series 65 licenses and worked in the securities industry, primarily as an investment advisor with Morgan Stanley Dean Witter in Los Angeles, California and Merrill Lynch in Westlake Village, California.
He has also obtained his Series 7, Series 63, and Series 65 licenses and is a Chartered Financial Analyst (CFA).
He holds Series 7, Series 63 and Series 65 licenses in addition to his life, accident and health licenses.