does passing the series 65 make me a registered investment advisor?

Any person registered with the SEC as an investment adviser and who conducts business in California for more. ("Series 65") passed on or after January 1, 2000 or the general securities representative examination ("Series 7") and Uniform Combined State Law Examination ("Series 66.

Just passing the Series 65 exam is only one of the steps in becoming registered as an Investment Advisor Representative. Each state has its own requirements and they all must be met before you can solicit.

Registered Investment Advisor Certification and Training Programs. Completing a bachelor’s or master’s program in financial planning or a related field can prepare students to work as investment.

Historically, the competency standards to become a financial advisor have been very low. All someone really needed to do was pass a three-hour regulatory. is the very basic industry exams: Series.

It is essentially a combination of Series 63 and Series 65, but since a prerequisite for taking the exam is successful completion of the Series 7 exam, it does not include the product, analysis.

just because you’re a registered investment advisor Registered investment advisors can be managing thousands of unique portfolios. This is because high-net-worth individuals and institutional investors are groups with unique needs.

Registered Investment Advisor: Registered Investment Advisors (RIAs) are either individuals or firms registered with the Securities and exchange commission (sec) or state securities authorities. They are charged with providing advice and recommendations or writing reports about securities.

 · How To Check Out Your Stock Broker.. and an SEC-registered investment advisor (Series 65) is that the later is bound by a fiduciary duty meaning the.

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Series 65 is a license that allows a person to legally act as an investment advisor representative. They are held to a higher standard of care called fiduciary duty, and provide advice to.

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Proof of passing Series 65 exam or Series 7 and 66 exams. Enrollment and study materials may be obtained by calling FINRA at 301-590-6500.. Federally Registered Investment Adviser Representative (with a place of business in Kentucky and more than five Kentucky clients). Investment Advisers.

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If you are interested in becoming an Investment Adviser Representative, the first step to getting licensed is passing the Series 65 exam, or the Series 7 and Series 66 exams. Unlike other securities licensing exams, you do not need to be sponsored by a firm or broker-dealer to take the Series 65 exam.

The passing score of the Series 65 test is 72 percent, which is 94 correct responses for the 130 test questions comprising the exam. The 10 pretest questions do not count towards your final score. The Series 65 examination must be finished within 180 minutes.