The Series 65 does not have any prerequisites, and you do not need to be employed by or sponsored by a FINRA member firm in order to register for and take the exam. However, the Series 7 is often considered a “co-requisite” for many financial advisor roles.
The Series 65 exam, known formally as the Uniform Investment Adviser Law Exam, covers the laws, regulations, ethics, strategies, and various topics important to the role of a financial adviser and offering financial advice. Passing the Series 65 (or the Series 65, which contains much of the material of the Series 65) is required for individuals to act as investment advisers in the US.
Despite commonly being called the "FINRA Series 65" it is more accurately a North American Securities Administrators Association (NASAA) exam administered by FINRA.
When you buy the Achievable Series 65 course, you'll get unlimited access to our extensive question banks and unlimited practice exams.
Our practice exams are carefully constructed to match what you'll see on the actual Series 65, based on over a decade of training experience. Furthermore, our math-based questions are templatized so that you see different numbers each time, ensuring that you’re learning the underlying concept and not just the right answer.