Series 65 exam
E23446
The Series 65 exam is a U.S. securities licensing test that individuals must pass to qualify as investment adviser representatives authorized to provide investment advice for a fee.
Aliases (1)
Statements (45)
| Predicate | Object |
|---|---|
| instanceOf |
United States professional certification exam
→
securities licensing examination → |
| administeredBy |
Financial Industry Regulatory Authority
→
|
| country |
United States
→
|
| credentialOutcome |
qualification to register as an investment adviser representative in many U.S. states
→
|
| deliveryMethod |
computer-based test
→
|
| eligibilityRequirement |
individual candidate registration with FINRA
→
no firm sponsorship required → |
| feeTypeAuthorized |
assets-under-management fees
→
fee-based investment advice → hourly financial planning fees → |
| focus |
Uniform Securities Act principles
→
ethical business practices → state securities laws → |
| fullName |
Uniform Investment Adviser Law Examination
→
|
| governingBody |
North American Securities Administrators Association
→
|
| language |
English
→
|
| licenseType |
investment adviser representative license qualification
→
|
| purpose |
authorize individuals to provide investment advice for a fee
→
qualify individuals as investment adviser representatives → |
| regulatoryBasis |
state-level securities regulation framework
→
|
| regulatoryDomain |
investment advisory services
→
securities regulation → |
| relatedExam |
Series 63 exam
→
Series 66 exam → Series 7 exam → |
| requiredBy |
state securities regulators
→
|
| requiredFor |
registration as an investment adviser representative
→
|
| sponsoredBy |
North American Securities Administrators Association
→
|
| subjectArea |
client recommendations and suitability
→
economics → ethics → fiduciary duty → insurance-based products → investment strategies → portfolio management → retirement planning → securities regulation → |
| targetCandidate |
individuals employed by registered investment advisers
→
individuals providing investment advice to the public → |
| testFormat |
multiple-choice examination
→
|
| usedBy |
financial planners
→
portfolio managers → registered investment advisers → wealth managers → |
Referenced by (2)
| Subject (surface form when different) | Predicate |
|---|---|
|
Financial Industry Regulatory Authority
→
|
administers |
|
Series 65 exam
("Uniform Investment Adviser Law Examination")
→
|
fullName |