Series 65: 5.1.3.4. Advisory Accounts

Taken from our Series 65 Online Guide

5.1.3.4. Advisory Accounts

An investment adviser is a person or entity that advises people on their investments for a fee. Investment advisers often open accounts at broker-dealers to buy and sell securities for the client. Investment advisers are considered fiduciaries and must, therefore, put their clients’ interests before their own.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 5.1.3.4. Advisory Accounts, you might also be interested in:

Series 26 - Physical Possession or Control

Series 24 - 4.2.10.1. Private Resales to Qualified Institutional Buyers—Rule 144A

Series 6 - 2.2.6. Partnership Account

Series 26 - Underwriting a Securities Issue

Series 53 - 4.2.1.1.3.1. Legal Opinion

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

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!

Michael Jones. Kansas City, MO

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

My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

Most Sincerely,

David Hartzell

Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

I passed the Series 65 this afternoon! Your online test simulation was terrific. Thanks so much!

David G., San Francisco, CA

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