Series 65 Exam Prep
Gain the knowledge you need to pass with engaging avatars, concise content, and practice exams. Our online course is built to help you succeed on your state exam the first time.
Becoming a Licensed Securities Professional – Series 65
The Series 65 license is a key requirement for professionals who want to provide investment advice and charge fees as an Investment Adviser Representative (IAR). Most state securities administrators require individuals to pass the Uniform Investment Adviser Law Exam, commonly known as the Series 65, before they can offer advisory services. This exam, developed by the North American Securities Administrators Association (NASAA) and administered by FINRA, ensures that candidates understand the regulations and responsibilities associated with managing client investments.
The Series 65 exam covers essential topics such as state securities laws, ethical standards, fiduciary duties, financial product knowledge, and investment analysis. Mastering these concepts is critical for building a successful career in investment advisory services. This course provides the necessary preparation to help you gain the knowledge and confidence needed to pass the exam and meet state registration requirements.
Key Exam Topics:
Federal & state regulations
Broker-dealer registration
Investment adviser rules
Ethical guidelines
Prohibited practices
Uniform Securities Act
Customer evaluation & risks
Securities markets
Security product types
Trading strategies
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Pre-Licensing Lessons
Exam-Style Quizzes
State-Aligned Curriculum
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Simulated Exam