The Solomon Exam Prep Guide: Series 65—Uniform Investment Adviser Law Examination offers a no-nonsense guide to the Series 65 exam. With detailed explanations, visual study aids, and example questions, this Solomon Exam Prep guide will get you on track to passing the Series 65.
The Series 65 Exam Study Guide is available as an online digital study manual via your online student dashboard (requires Internet connection/not downloadable) or as a hard copy textbook (shipping & handling will apply).
Please note: the digital guide and hard copy guide contain the same content, however, this image is a PDF of the hard copy guide and the digital guide does not look exactly the same as this PDF of the hard copy. If you want this exact look, you must purchase the hard copy upgrade.
How do I schedule my Series 65 Exam?
A firm will file an electronic Form U4 for a candidate, or an individual will file a Form U10 and pay the registration fee to FINRA. Upon registering, a candidate will have 120 days to schedule the exam. You can find more details here.
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.
How long should I prepare for this exam?
We recommend studying 100 hours over a five-week period.
What score do I need to pass the exam?
A score of 72% is required for passing.
Note: Scores are rounded down to the lowest whole number, so a 71.9% would be a final score of 71%-- not a passing score for the Series 65 exam.
What happens if I pass the Series 65 but I do not complete the registration process?
After passing the Series 65, you have two years to become registered with a state otherwise the exam will show “expired” in the Central Registration Depository, and you will have to sit for the exam again. Contact your state regulator for more information regarding your state’s registration rules and process.
Are there other FINRA exams I need to complete as a prerequisite to attempting the Series 65?
How many questions are on the exam?
There are 130 scored and 10 unscored questions. These 10 unscored questions are randomly distributed so test-takers do not know which ones they are. The unscored questions are being tried out by the exam committee.
How long is the exam?
Three hours.You are allowed to take restroom breaks during the exam; however, the clock will continue counting down. Please contact your preferred testing center for additional information.
How much does the exam cost?
The cost of the exam is $165 at this writing.
If I stop working for my firm, how long will my Series 65 license remain active?
You will have two years between
jobs before the license expires.
When you cease working for a firm, your employer will file a Form U5 to terminate your registration. Your next employer will file a Form U4, which will re-register you. As long as you do not exceed two years between employers, your Series 65 license will remain active.
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Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.
I used your materials for the Series 79, Series 82, and the Series 63 and scored all in the mid-80% range. Thanks for your help and support!