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. Hendrickson, a graduate of the University of Nebraska, Lincoln holds the Series 7 and Series 66 licenses