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.
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The plan is for me to get a Series 65 license and to start a fee-based segment of the practice," he says.
Education: Louisiana Tech; Southern Methodist University; University of Arkansas at Little Rock; National Association of Securities Dealers Series 65 license.
She holds a Series 6 securities license and is pursuing a Series 65 license.
He is currently licensed to practice law in the State of Mississippi, maintains a Series 65 license and is a member of the Memphis Estate Planning Council.
Waters attained a Charted Financial Analyst designation (CFA), is a member of CFA Society of Alabama and maintains a Series 65 license.
She holds the FINRA Series 65 license and the CIMA (Chartered Institute of Management Accountants) designation.
Having held his FINRA Series 7, 24, 63 and also a Series 65 license his experience spans operations, marketing, sales management, electronic trading and compliance.
He holds an investment adviser SEC Series 65 license and has been a member of the Michigan Bar Association since 1985.
He has a Series 65 license and is currently pursuing certification as a Wealth Analyst.
In addition, he holds an NASD series 65 license and has a CPA license from the State of California.
Lansing also teaches finance at the graduate level, holds a Series 65 license and is a Registered Investment Advisor with the Securities and Exchange Commission and the Texas State Securities Board.
She began her investment career in 1978, and holds the Chartered Financial Analyst designation and the Series 65 license.