Series 65 Exam

An exam administered by the Financial Industry Regulatory Authority (FINRA) on behalf of The North American Securities Administrators Associations. Completion of the Series 65 Exam will qualify an investment professional to operate as an Investment Adviser Representative. The exam focuses on topic areas that are important for an investment adviser to know when providing investment advice. These areas include topics such as retirement planning, portfolio management strategies, and fiduciary obligations.

Series 65 Online Study Guide Book Icon

Series 65 Online Study Guide

Series 65 Exam Guide- Pass the Series 65 Exam and become a registered investment advisor with our Free Online Study Guide - Click Here

Try Our Series 65 Quizzer

Start Your Series 65 Exam

Exam Details

Time Limit: Three hours
Cost: $155
Number of Questions: 130, plus 10 "pre-test" questions
Passing Score: 72%
Format: Multiple Choice
Prerequisites: You do not have to be sponsored or employed by a member firm. If registering as an individual, you must complete Form U-10.
Exam Date(s): Any day of the week, excluding Sundays
Exam Locations: Find your U.S. or international exam center here
Official Exam Website:

Exam Topic Weights

For an in-depth breakdown, see the North American Securities Administrators Association's (NASAA) study guide.

Series 65 Exam Topic Weights By Section

Question of the Week

Your client, Todd, owns 100 shares HAT stock in his taxable stock portfolio. The stock has been inactive for the last year and Todd expects it to have another sluggish year ahead. To help Todd increase his return on the stock and reduce risk, you would recommend which of the following strategies?

  • a) Sell a call on HAT stock
  • b) Buy a put on HAT stock
  • c) Sell a put on HAT stock
  • d) Buy a call on HAT stock
  • View Answer »

New Articles:

visa debit card walmart social security disability pennsylvania how to get a dunkin donut franchise aud eur conversion small business payroll tax calculator conversion from english pounds to us dollars value of 1935 one dollar bill cheapest airline tickets to mexico how much does hr block charge to file taxes free federal tax filing turbotax where can i get a paypal prepaid card hr block tax estimate sear mastercard rushcard prepaid visa debit cards website lowes home center inc pound to philippine peso conversion priceline hotels bidding usd to pound converter eurozone nations how does legal zoom work average number of showings before a house sells concerned meaning in telugu operational feasibility study sample price of nutrisystem per month h&r block income tax software convert lira to dollars salaried vs hourly employees cd rates compounded daily best paying jobs with a bachelor degree green cab in newark nj