Series 65 Exam

Written by Pete Nicholls
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The Series 65 exam is required by most states across the country for people who wish to become registered investment advisors. However, this exam may be waived by some states if the individual already has the Certified Financial Planner, the Chartered Financial Consultant, the Accredited Personal Financial Specialist, Chartered Financial Analyst, Chartered Investment Counselor, or other such designations as deemed by the state administrator. Other titles for investment advisor are portfolio manager, financial advisor, or investment counsel.

Preparing for the Series 65 Exam

The Series 65 exam consists of 130 questions, with students being given a 3 hour time limit to complete the test. Some states require individuals taking the exam to pass with a score of 70 percent or higher. Test topics include: Economic Analysis, Investment Recommendations and Methods, Investment Vehicles, and Ethics and Legal Guidelines. Students need to have baseline knowledge of all of these topics, especially in the areas of Investment Strategies and Ethics. In order to make the study process easier, there are some exceptional home study materials available that you can order right from the Web.


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