Series 65: Other Penalties And Liabilities

Taken from our Series 65 Online Guide

Other Penalties and Liabilities

In addition to revoking, denying, or suspending someone’s registration, a state Administrator can pursue civil liabilities, criminal penalties, and financial damages against a registered person or firm. The decision of which to pursue depends on a number of things, including the severity of the violation and the willingness of the professional or firm to work with the Administrator.

The Uniform Securities Act states that persons who violate the Act through securities transactions or investment advice are subject to civil liabilities. But if a violation(s

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I finally passed the Series 65! I’m writing today to send you a very sincere Thank you for all the professional support and emotional guidance you have provided. I was emotionally beat up and almost ready to give in on my endeavor of passing the Series 65 and becoming an Investment Advisor Firm. After becoming unemployed and having a tremendous time focusing on the study material, you provided additional months and material access for no additional Fee! You also mentioned I should be able to teach the material and then I’ll be ready for the exam. By the gracious caring and professional sharing of your wisdom, it provided me to find my path to passing the Series 65! The three items that really helped was to Study like I’m going to teach it, memorizing and learn by over studying, and getting plenty of sleep and rest. Thank you to you, your family, and pro team for all you have done. I am very blessed and humbled to have met you all in this challenging time of my life. Happy Holidays, and Have a Safe and Happy New Year!

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I wanted to thank you for your help several weeks ago. The practice questions were very helpful. I passed the exam (Series 65) on the first try with a solid score.

Alan Heacock, LPL Financial, Bedford, NH