Series 65: Registration Exceptions

Taken from our Series 65 Online Guide

Registration Exceptions

The registration exceptions for investment adviser representatives are the same as for investment advisers. Investment adviser representatives do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Individuals who fall into the above categories would not need to register as investment adviser representatives within a state.

• Note: An investment adviser is responsible for supervising individuals who work for

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Registration Exceptions, you might also be interested in:

Series 24 - 4.2.6.3. Regulation M, Rule 104—Stabilizing Bids and Other Activities

Series 24 - SEC Registration Forms

Series 82 - 3.5. FINRA Rules

Series 14 - 3.1.2.1. Recordkeeping for Customer Accounts

Series 7 - Exercise

Series 66 - Sovereign Bonds

Series 6 - 4.2.3. Maturity Structure

SIE - How Mutual Funds Do Business

Series 79 - 14.4. Section 363 Sales

Series 63 - Reasons for Issuing a Stop Order

Series 3 - 1.2. Commodities and the Commodities Market

Series 26 - Changes in Registration Status

Series 52 - 3.1.1.2. Bond Counsel

Series 7 - 10.2.3. Credit Risk

Series 6 - 5.5.1. Local Government Investment Pools (LGIPs)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

I just passed my Series 65 exam yesterday!! Your study material was awesome! Unfortunately, they only provided pass/fail and no specific grade because I wanted to know how well I did. Thanks so much!

Cheryl Fluker, Members Advisory Group, Williamsville, NY

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

I'm an auditory learner. Ordering the audio files was most helpful and I passed today with no worries.

Michael Freemire, Cambridge Advisors, Englewood, CO

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA