Pass the Series 65 Exam

When an individual wants to register and serve as an investment advisor representative (IAR) of an RIA, one of the requirements is to have the Series 65 Exam. Although there are other ways to satisfy the examination requirement, such as holding a qualifying professional designation, the Series 65 is the most common.

Officially called the Uniform Investment Adviser Law Examination, the Series 65 tests a prospective IAR’s knowledge of matters needed to properly advise and assist clients with investments. It is a closed-book exam for a duration of 180 minutes that consists of 130 multiple-choice questions and covers numerous topics, including:

  • Economic factors and business information
  • Retirement planning
  • Investment vehicle characteristics
  • Client investment recommendations and strategies
  • Managing portfolios
  • Laws, regulations and guidelines
  • Fiduciary duties

RIA Registrar can provide you the guidance to setting up your S65 exam. The test window for the Series 65 is opened for 120 days. Candidates can take the test one time during this time frame. To pass you must achieve a score of at least 72 percent. Once passed, you are eligible to register as an IAR!

Please see the FAQ Section for additional information about the Series 65, Waivers and Exemptions.

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