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Series 65 - NASAA Uniform Investment Adviser Law Exam

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?

No.

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. 



General exam questions? See our general FAQs.

For information about Solomon Series 65 exam study materials, please click here.



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Paige Robino


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Hannah Cash, Denali Wealth Management, Indianapolis, IN