Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

There are very few post-registration requirements for investment adviser representatives, aside from the IAR not breaking the law and the IAR’s firm renewing his registration in a timely manner. The most likely post-registration requirement would be many states’ requirement to engage in some type of continuing education during each renewal period.

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I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

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