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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DeVore holds her NASD Series 65 license and a Behavioral Financial certification/designation
Based on our research, roughly 50 percent of the advisors have a Series 65 license and registration with a broker-dealer, allowing them to sell variable products.
The plan is for me to get a Series 65 license and to start a fee-based segment of the practice," he says.
So getting a series 65 license should be a top priority to protect your backside.
Education: Louisiana Tech; Southern Methodist University; University of Arkansas at Little Rock; National Association of Securities Dealers Series 65 license.
Co Series 65: Anyone who intends to offer financial advice or service on a non-commission basis, or who works with managed accounts, needs a Series 65 license.
Unless the Supreme Court reverses this decision, advisors must be persons offering fee-based services only and must be in possession of a Series 65 license.