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In most states, a new registered representative must–at a minimum–pass the Series 63 to satisfy state law registration requirements. The Series 63 (formally known as the Uniform Securities Agent State Law Examination) consists of 65 questions. Of this number, 60 count toward the candidate’s score.
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Warning. You might have read that if you hold the Series 7 and Series 66 licenses that you can work as a Registered Investment Adviser without passing the Series 65 Registered Investment Adviser exam.
In part 2, do not state that you are "registered with the U.S. Securities and Exchange Commission" or "registered under the Investment Advisors Act of 1940." Do not reference or use the fact of your registration in public displays or advertisements in connection with rendering of services as an investment adviser. See Section 20 of the Act.
The Series 65 exam – the NASAA Investment Advisers Law Examination – is a North American Securities Administrators Association (NASAA) exam administered by FINRA. The exam consists of 130 scored questions.
Although the terms sound similar, investment advisers are not the same as financial advisors and should not be confused. The term financial advisor is a generic term that usually refers to a broker (or, to use the technical term, a registered representative).
A Registered Investment Adviser (RIA) is a firm that is an Investment adviser in the United States, registered as such with the Securities and Exchange Commission or a state’s securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term investment advisor (spelled "investment adviser" in U.S.
FAQs. Our frequently asked questions section will give you a taste of what to expect before and after becoming a registered investment advisor, as well as useful things to know about the Series 65 exam.
Ultimately, what all this means is to get paid for financial (investment) advice, you need to both sign up for and pass the Series 65 exam (or have the requisite designations), and then you actually have to go through the process of registering a business as a Registered Investment Adviser, or RIA.
The Uniform Investment Adviser Law Examination and the available study outline were developed by NASAA. The examination, called the Series 65 exam, is designed to qualify candidates as investment adviser representatives.