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The Uniform Investment Adviser Law Examination consists of 130 questions plus 10 pretest questions that cover topics applicants must know to provide investment advice to clients. Applicants have 180 minutes to complete the examination, and must answer at least 94 (72%) of the questions correctly to pass the Series 65 exam. [3]
The Series 65, also known as the Uniform Investment Adviser Law Examination, is a test and license required of most financial professionals. If you're interested in becoming a financial ...
Series 65 – Uniform Investment Adviser Law Exam* Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)* Series 72 ... ShareAlike 4.0 License; ...
An investment adviser is defined by the Securities and Exchange Commission as an individual or a firm that is in the business of giving advice about securities. However, an RIA is the actual firm, while the employees of the firm are called Investment Adviser Representatives (IARs). Registered investment adviser firms receive compensation in the ...
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Investment Advisers may be registered with state regulatory agencies, the Securities and Exchange Commission, or pursuant to certain exemptions, remain unregistered. [19] In the United States, a financial adviser carries a Series 7 and Series 66 or Series 65 qualification examination.
Obtaining the Series 7 license is an important step for many financial advisors on their climb up the career ladder. But clearing this obstacle is not without its challenges.
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