Series 65

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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Says Solomon: "The good thing about a shorter exam like the Series 51 is that it's only 60 questions and it doesn't cover as much material as other securities exams, such as the Series 7 or the Series 65.
Many agents earn their Series 65 or 66 investment-advisory licenses (RIA) solely with the goal of gaining the legal right to review client investments in order to source funds for annuity purchases.
Hirsch: Do you foresee the time when producers like yourself will need to get a Series 65 or become an RIA--Registered Investment Advisor--or IAR--Investment Advisory Representative?
Bouma also holds a BBA in finance from Western Michigan University and has his Series 7 license, his Series 63 and Series 65 licenses, as well as his Michigan life and health insurance licenses.
Recently I passed my Series 65 and I'm able to do fee-based planning, and I also got an insurance consulting license from the State of Oregon.
In these cases, the referring CPA must meet the same requirements as other applicants and pass the series 65 licensing exam.
In addition to the Comprehensive PFS Exam, several other certification exams, as well as the NASD Series 65, Series 66 and Series 7 exams, are also eligible for points toward accreditation.
Those others are: Certified Financial Planner, Chartered Financial Consultant, Chartered Financial Analyst, and the NASD Series 65, Series 66 and Series 7 exams.
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.
John holds his Series 6 (Limited Investment Securities) Series 7 (General Securities Rep), Series 24 (General Securities Principal) Series 63 (Uniform Securities Agent), and Series 65 (Uniform Investment Advisor Law) licenses.