Series 65: Corporate SEC Filings

Taken from our Series 65 Online Guide

Corporate SEC Filings

While many advisers will ultimately work for investment firms with large research departments that do much of their analysis for them, regulators want to make sure you not only can compute some of the most important ratios, but also kno

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At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

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