Series 65 — NASAA Uniform Investment Adviser Law Exam
The NASAA Uniform Investment Adviser Law Exam (Series 65) qualifies you as an investment adviser representative, enabling you to provide investment advice to clients. There are no prerequisites, and you do not need to be associated with a firm to take the exam. However, after you pass, you will probably need to be associated with a firm to obtain a state license. Read more Series 65 FAQs.
Solomon Exam Prep’s innovative study system has helped thousands pass their securities exams. Explore Solomon’s Series 65 study materials below and get started on your path to becoming an investment adviser representative!
QUICK LOOK:
- RECOMMENDED STUDY TIME: 100 hours
- EXAM LENGTH: 140 questions
- EXAM TIME: 3 hours
- PASSING SCORE: 72%
- TAKING EXAM: Testing is done via Prometric
Hard Copy Upgrade + $37.00
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The Solomon Series 65 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 65 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions, as well as a glossary of key terms.
To see a sample of the online Study Guide, click here.
The Solomon Series 65 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 65 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions, as well as a glossary of key terms.
The Study Guide is available in your online Solomon account (this digital guide requires Internet connection and is not downloadable).
To see a sample of the online Study Guide, click here.
If you'd like a physical book, a hard copy upgrade is available (shipping & handling will apply) that contains the same content as the online version in your Solomon account.
To see a sample of the hard copy Study Guide, click here.
Please note: This sample of the hard copy is in PDF form to show the look of the hard copy only, but Solomon Study Guides are not available as PDFs.
Designed to work with the Solomon Series 65 Study Guide, the Solomon Series 65 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you've learned. Comes with Pass Probability™, Solomon’s industry-leading AI technology that measures your readiness to pass your exam.
Sample a free demo of our Series 65 Online Exam Simulator here!
Designed to work with the Solomon Series 65 Study Guide, the Solomon Series 65 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.
The 180-day subscription to the Solomon Series 65 Exam Simulator offers:
• Over 4,800 original Series 65 practice questions with robust rationales which clearly explain why a specific answer is correct.
• Questions updated continually to keep up with regulatory and industry changes
• Self-assessment tools that helps you identify areas that require more study
• Pass Probability™ technology calculates the probability that you will pass your test
• An unlimited number of 20-question quizzes corresponding to the chapters of our Exam Study Guide
• An unlimited number of 140-question untimed practice exams with immediate answer feedback
• An unlimited number of 140-question timed practice exams
Exam simulator subscriptions are limited to one individual.
Sample a free demo of our Series 65 Online Exam Simulator here!
The Solomon Series 65 Video Lecture highlights the most important and heavily-tested exam topics. Join the Solomon Professors as they review the need-to-know information in this clear, easy-to-understand, training course. This 10-hour recorded course walks you through the most critical Series 65 concepts.
The Solomon Series 65 Video Lecture highlights the most important and heavily-tested exam topics. Join the Solomon Professors as they review the need-to-know information in this clear, easy-to-understand, training course. This 10-hour recorded course walks you through the most critical Series 65 concepts.
Lectures are peppered with practice questions to help you use what you are learning.
The Series 65 Video Lecture is available through the Solomon website and can be accessed via computer or mobile device. Video lecture subscriptions are for 180 days, or until you pass your exam, whichever comes first.
If you like to listen, the Solomon Series 65 Audiobook offers you the perfect way to study for your exam while you’re commuting, working out or doing the dishes! The Solomon Series 65 3rd Edition Audiobook is a 20-hour audio recording of the Solomon Series 65 Study Guide. The guide is written in clear easy-to-understand language and contains the information you need to know to pass your exam.
To listen to a sample click here.
If you like to listen, the Solomon Series 65 Audiobook offers you the perfect way to study for your exam while you’re commuting, working out or doing the dishes! The Solomon Series 65 3rd Edition Audiobook is a 20-hour audio recording of the Solomon Series 65 Study Guide. The guide is written in clear easy-to-understand language and contains the information you need to know to pass your exam.
The Series 65 audiobook is a great companion to the Series 65 Online Exam Simulator, the industry-leading online testing program that ensures you are learning and retaining the information.
Available as streaming audio and instant MP3 download.
The MP3 files are compatible with all major MP3 players, including but not limited to: iPods, iTunes, Zune, Sony, MP3 CD Players, MP3 Walkman, Windows Media Player and QuickTime.
(Note for iPod, iPhone, and iPad users: MP3 files must be downloaded to a computer and added to iTunes before being transferred to your device.)
To listen to a sample click here.Learn key definitions and concepts on the NASAA Uniform Investment Adviser Law Exam with Solomon Exam Prep Series 65 exam digital flashcards! The perfect supplement to our industry-leading Series 65 study materials, the Solomon Series 65 flashcard pack will help you learn foundational securities industry definitions and concepts with ease.
Learn key definitions and concepts on the NASAA Uniform Investment Adviser Law Exam with Solomon Exam Prep Series 65 exam digital flashcards! The perfect supplement to our industry-leading Series 65 study materials, the Solomon Series 65 flashcard pack will help you learn foundational securities industry definitions and concepts with ease.
- Over 900 definition cards featuring clear, easy to understand definitions
- Over 1700 true-false cards that feature important Series 65 exam facts
- Rating feature allows user to customize deck for targeted learning
- Turn on text-to-speech and listen while you learn
- Available on Solomon Exam Prep apps for on-the-go learning
The Solomon Series 65 Live Web Class gives you the opportunity to learn from and interact with an instructor in real time, from the comfort of your own home or office. In this 5-day intensive course, a Solomon content expert leads you step-by-step through the Series 65 concepts that are most valuable in helping you pass your exam.
The Solomon Series 65 Live Web Class gives you the opportunity to learn from and interact with an instructor in real time, from the comfort of your own home or office. In this 5-day intensive course, a Solomon content expert leads you step-by-step through the Series 65 concepts that are most valuable in helping you pass your exam.
The Solomon Series 65 Live Web Class covers these important exam topics:
- Business Cycles and Economic Factors
- Fundamental Analysis
- Types of Risk
- Equity and Debt Securities
- Investment Companies
- Discounted Cash Flow
- Derivatives
- Alternatives and Insurance Products
- Clients and Client Profiles
- Capital Market Theory, Portfolio Management, and Taxation
- Taxation of Debt and Equity Securities
- Retirement Plans, ERISA, Special Accounts
- Trading and Performance Measures
- Regulations of Securities Professionals
- Regulations of Securities and Issuers
- Remedies and Administrative Provisions
- Recordkeeping Requirements
- Net Worth/Net Capital Requirements
- Business Practices for IAs and IARs
- Performance-based fees
- Wrap fees
- Custody
- Communication with Clients and Prospects
- Compensation and Client Funds
- Conflicts of Interest
I learned the material quickly and passed the Series 65 with flying colors. It was fun to listen while driving, and it was easy to absorb the information—just like being taught by an entertaining young professor!
Chris McConnell, Adondo Corporation, Wayne, PA
CLICK HERE FOR MORE TESTIMONIALS
Once you take five Solomon practice exams in the Exam Simulator, the Solomon Pass Probability tool calculates the probability that you will pass your test. You will receive a score between 0% – 100%.
- A speedy response
- Direct access to Solomon professors
- Personalized help
"The Ask the Professor and live chat features were excellent!"
Carol G, New York
*Limited to one question per day.
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What does the Series 65 qualify me to do?
A Series 65 license qualifies you as an investment adviser representative, enabling you to provide investment advice to clients.
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Do I need to be sponsored to take the Series 65 exam?
No. If you’re not employed by a firm, you can still register to take the exam by paying the fee and opening an exam enrollment window via FINRA’s Test Enrollment Services System.
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Does passing the Series 65 exam make me an accredited investor?
No, passing the exam alone is not enough. You must also be licensed as an investment adviser representative in your state and be in “good standing,” which means being in compliance with all state-specific licensing requirements, such as paying dues, etc.
Refer to the SEC’s Small Entity Compliance Guide for Amendments to the Accredited Investor Definition for more information.
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How long should I prepare for the Series 65 exam?
We recommend studying 100 hours over a five-week period.
CLICK HERE FOR MORE FAQS
STUDY GUIDE
EXAM SIMULATOR
| Number of Questions | 10 |
| Time Duration | Untimed |
| Answer Feedback Instant validation and rationale |
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| Percentage required to pass | 72% |
AUDIOBOOK
| Track | Title | Bookmark | Length | Download |
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VIDEO LECTURE
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