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Series 65 License

If you are among the many educated individuals who are looking for a career in investment services, earning your Series 65 license is a key step in the process. This securities license is a requirement for any investment professional to act as an advisor in most states, and obtaining this license may be more difficult than you think. Earning your Series 65 license requires obtaining a score of 68.5% or above, and many educated individuals do not pass the test on their first attempt.

Preparation is Key

Any seasoned investment advisor will tell you that study and discipline are key factors in determining whether you will obtain your Series 65 license. You will need to demonstrate your ability to successfully answer questions surrounding regulations, laws, and ethics, in addition to your ability to analyze complex investments. Over a third of the test is dedicated to concepts surrounding the Uniform Securities Act, Securities Exchange Act of 1934, Investment Advisers Act of 1940, and the Uniform Prudent Investors Act, so be prepared. Remember, passing the Series 65 is a prerequisite to receiving your license, and is not the license itself. In order to obtain your license, you must file form U-4, pay a state fee, and pass the background check as mandated.

Regardless of whether you are represented by a firm, you are eligible to take the Series 65 exam. Your firm will file form U-4 to schedule you for the exam, or you may file form U-10 and simply specify "Not applicable," under the sponsorship section of the form. Once your paperwork is filed, you have a 120-day window to take the exam. Call Sylvan Prometric at (800) 578-6273 to secure your seat at one of the numerous test sessions they facilitate.

At Pass the 65, we are pleased to present you with one of the most comprehensive, easy to follow study guides available on the Internet. We give you the option of downloading a PDF version to help you begin your studies immediately. If you have any questions about our study materials, call us at (708) 488-9066, or send your questions to Your success is our reward!

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