Securities Exam Prep Series 65
Series 65 Exam Prep
To pass your Series 65 licensing exam, ExamFX has created a comprehensive online training program to ensure that you are prepared to pass your exam on first attempt. We have a variety of study packages available, designed to meet your specific needs.
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Organization Discounts Available*Actual price may vary depending on state and course selection. Please see purchasing portal for actual pricing for your state and organization. Discount pricing may also be available with qualifying manager email, discount code, or by visiting your specific organization's page.
Series 65 Package Comparison
We offer flexible solutions and packages for every learning style, specifically designed to help you pass your Series 65 exam. Through our training you will have access to a variety of helpful study tools that will prepare you for test day.
We guarantee you will pass your licensing exam on the first attempt. If you do not pass the licensing exam after scoring an 80% on the Guarantee Exam, we will refund the cost of the material. Licensing exam must be taken within 3 days after passing the Guarantee Exam. A copy of the licensing exam results and access code must be provided.
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What is the Series 65 license and what will it do?
The Series 65 license allows financial services professionals to qualify as an Investment Adviser Representative. In order to obtain a Series 65 license, you must prepare and pass the Series 65 exam (Uniform Investment Adviser Law Examination). This exam is administered by FINRA (Financial Industry Regulatory Authority). To view a complete, detailed test outline, please follow the link to the FINRA website and Series 65 outline.
VIEW THE NASAA SERIES 65 OUTLINE
About the Series 65 Exam
What are the topics covered on the Series 65 Exam?
The Series 65 exam is broken down into four parts (by content area). These topics include:
- Economic factors and business information
- Investment vehicle characteristics
- Client investment recommendations and strategies
- Laws, regulations and guidelines, including prohibition or unethical business practices
See below for more detailed breakdown or visit the FINRA link above.
Investment Vehicle Characteristics
- Basic economic concepts
- Financial reporting
- Quantitative methods
- Types of risk
Economic Factors and Business Information
- Types and characteristics of cash and cash equivalents
- Types and characteristics of fixed income securities
- Methods used to determine the value of fixed income securities
- Types and characteristics of equity securities
- Methods used to determine the value of equity securities
- Types and characteristics of pooled investments
- Methods used to determine the value of pooled investments
- Types and characteristics of derivative securities
- Alternative Investments
- Insurance-based products
Client Investment Recommendations and Strategies
- Type of client
- Client profile
- Capital Market Theory
- Portfolio management styles and strategies
- Portfolio management techniques
- Tax Considerations
- Retirement plans
- ERISA issues
- Special types of account
- Trading securities
- Performance measures
Laws, Regulations, and Guidelines, including Prohibition on Unethical Business Practices
- State and Federal Securities Acts and related rules and regulations
- Ethical practices and fiduciary obligations
FINRA Series 65 Exam Details
The Series 6 exam consists of 130 multiple-choice questions and is a total duration of 3 hours. The minimum passing score is 72%. The exam cost is approx. $175 and candidates do not need to be sponsored or employed by a member firm.
What is the ExamFX Guarantee Exam?
As a first in the prelicensing industry, we stand by our mission to provide students with quality learning tools and instruction. We guarantee each student will pass his or her exam on the first attempt. If a student fails the state exam within three days after scoring 80% on the Guarantee Exam, we will refund the cost of the material. It is that simple.