Learn what’s on the Series 65 exam, how to prep, and what to expect, so you can pass and become a licensed investment adviser.

Reviewed by Colleen RamosFact checked by Vikki VelasquezReviewed by Colleen RamosFact checked by Vikki Velasquez The Series 65, officially known as the Uniform Investment Adviser Law Exam, is designed ...

Did you know that only a mere 36% of Americans have a written financial plan? Let’s face it, a lot of people need help planning their finances and building their wealth. You can help them do that as ...

For many Series 65 exam takers, the ultimate goal is to become a financial advisor. Not only is helping others make the most of their budget, investments, and retirement funds rewarding, but it’s also ...

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There's good news and bad news for planners seeking state registration as advisors with the North American Securities Administrators Association. The good: The NASAA is reducing the number of correct ...

What Is the Series 65? The Series 65 is a financial industry exam and licensing requirement designed for individuals who wish to become registered investment advisors in the United States. This ...

Last week, FINRA published its 2022 Report on its Examination and Risk Monitoring Program (the “Report”), identifying key areas of focus for broker-dealer exams this year. The Report contains many of ...

We might earn a commission if you make a purchase through one of the links. The McClatchy Commerce Content team, which is independent from our newsroom, oversees this content. This article has ...

Compare broker-dealers and RIAs to understand their roles, regulations, and which suits your investment needs. Learn the key ...

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Anyone who wants to market and sell investments must obtain a securities license. The Series 65 license is required to provide financial advice or services on a non-commission basis. Economic factors ...