Requirements for the Series 65 License
- Step 1: Prepare for the Series 65 license with STC exam prep
Shop Series 65 Exam Prep - Step 2: You must be age 18 or older to sit for the Series 65 exam
- Step 3: Find a Sponsor or take the exam on your own
If you’re taking the exam independently, you must create a FINRA account and file an exam request with FINRA. You may create a new account and register here.
If you’re sponsored by a firm, your sponsoring firm will send your completed Form U4 to FINRA. - Step 4: Enroll in your Series 65 exam
If sponsored, complete form u-4. If not, complete the enrollment process as directed by FINRA after registering. You will receive an email informing you that you can now register for your exam. This is when you will want to order your materials from STC. - Step 5: Schedule your Series 65 exam
- After you enroll to take the exam, you have 120 days to schedule and take the exam at a Prometric test center.
- Schedule your exam on the Prometric website or call their Contact Center.
- Be sure to review your exam confirmation email for your exam-day details.
Arrive 30 minutes before your scheduled exam. - Upon completion, you will receive a printed copy of your score report.
- Step 6: Pass your Series 65 exam & get your Series 65 license
You must pass both the Securities Industry Essentials (SIE) exam, Series 6 or Series 7 and the Series 65 exam to obtain the General Securities Representative registration. - Shop Series 65 Exam Prep
Securities Training Corporation has trained over a million experts in the financial industry since 1969. If you are ready to get your Series 65 license, our Series 65 program will help you pass with confidence.
FAQs
This will require you to create an account with FINRA, enroll, and pay for the Series 65 exam. The cost of the Series 65 exam is $187. You will schedule an appointment with Prometric to take and pass your exam at a test center.
How to obtain a series 65 license? ›
This will require you to create an account with FINRA, enroll, and pay for the Series 65 exam. The cost of the Series 65 exam is $187. You will schedule an appointment with Prometric to take and pass your exam at a test center.
How much does it cost to take a series 65? ›
An individual's firm can schedule a candidate to take the exam by filing Form U4 and paying the $187 examination fee. If an individual is not firm-registered, the candidate uses Form U10 to request and pay for the exam.
Can you take the series 65 without a sponsor? ›
How to Get the Series 65 License. Unlike many other FINRA Series exams, the Series 65 exam does not require an individual to be sponsored by a member firm. If you are not Form U4 registered or affiliated with a firm through FINRA's Web CRD system, you should use the Form U10 to request and pay for the Series 65 exam.
How long does it take to get series 65? ›
How long do I need to study for the Series 65 Exam? When preparing to take the Series 65 exam, you should plan to study for 80-90 hours. Typically, candidates study over the course of 2 weeks.
How difficult is the series 65 exam? ›
As mentioned, the pass rate for the Series 65 exam is usually between 65% and 70%. That means roughly a third of candidates fail when attempting the test. In terms of what contributes to the failure rate, it can be a combination of things, including: Overall difficulty of the exam.
Can I take the series 65 exam online? ›
The Series 65 exam will only be available online for candidates who require a testing accommodation. For additional information about this exam, including the content outline, please visit the exams page on the NASAA website.
Is the series 65 worth it? ›
Who Needs the Series 65? Registered investment advisor firms (RIAs) require these representatives to interact with current and potential clients. So if you are currently looking for a career in a financial advisory position, Series 65 could be an asset to your résumé.
What is the hardest series exam? ›
The Series 7 exam is often considered the most difficult securities licensing exam. But, the answer is up to you. If you prepare properly and utilize an online learning tool like ExamFX's Series 7 course, you can approach the test with confidence and earn your Series 7 registration.
What is the series 65 pass rate? ›
The pass rate for the Series 65 exam is estimated to be around 60 to 70% of test takers.
How much does a Series 65 make? As of Sep 6, 2024, the average annual pay for a Series 65 in the United States is $78,695 a year. Just in case you need a simple salary calculator, that works out to be approximately $37.83 an hour. This is the equivalent of $1,513/week or $6,557/month.
Does series 65 expire? ›
The Series 65 license does not expire, as long as you continue to work for a sponsoring firm in the financial services industry. If you leave your sponsoring employer, you must find a new sponsor within two years to keep your license current.
How many times can you fail the series 65? ›
If you should fail the exam, you will be required to wait 30 days before attempting again. If you fail three attempts in a row, you will be required to wait 180 days before registering again. Please note that each subsequent attempt will require a separate registration and fee – which is $187 as of June 2023.
How much math is on the Series 65? ›
Most candidates expect many more math calculation questions then they actually see. Usually, there's only a handful. It's more important to understand how to do the math than to complete the calculations. Recognizing the right equation or formula that applies to a situation is often as far as the questions go.
Can you take the Series 65 without a degree? ›
To become a financial adviser without a degree, you must earn specific licenses by passing tests such as the Series 65 exam and the Securities Industry Essentials exam. Some states also require additional certifications.
How do you pass the Series 65 for the first time? ›
Series 65 test-taking tips!
- Read the full question before answering.
- Identify what the question is asking.
- Identify key words and phrases.
- Watch out for hedge clauses, for example, except and not.
- Eliminate wrong answers.
- Identify synonymous terms.
- Be wary of changing answers.
Chartered Financial Analyst (CFA) awarded by CFA Institute requires a bachelor's degree at minimum but can be pursued by students in their last year of undergraduate studies.
Do you need to take the SIE to take the series 65? ›
Aspiring licensees must first pass the 75-question Securities Industry Essentials (SIE) exam to demonstrate their knowledge of key concepts, definitions, and acceptable and unacceptable practices in the financial industry.
