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.
She holds a Series 6 securities license and is pursuing a 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.
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.
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 has a Series 65 license and is currently pursuing certification as a Wealth Analyst.