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Scan for outdated or missing drivers - takes under a minuteDriver Scan →Clear out junk files and repair common Windows errorsFree Scan →If you plan to become an investment adviser representative in the United States, a Series 65 preparation course can help you study for the qualification exam. NASAA also provides a free official study guide. Passing the exam may meet part of a state’s requirements, but you still need to complete the applicable registration process before conducting business.
What an investment adviser course prepares you for
“Investment advisor course” commonly refers to education or exam preparation for people seeking U.S. investment adviser representative work. The central exam is the Uniform Investment Adviser Law Examination, known as the Series 65. NASAA says it is designed to qualify candidates as investment adviser representatives and tests knowledge needed to provide investment advice to clients.
The exam covers securities and investment topics, general finance, economics, investing principles, and federal and state legal and ethical obligations. It is a qualification exam—not a course, a job credential by itself, or permission to conduct business.
Series 65 exam format and passing score
NASAA’s current Series 65 Exam Content Outline specifies 130 scored questions and 10 unscored pretest questions. Candidates have 180 minutes, and at least 92 correct answers are required to pass. These are exam specifications, not estimates of how long a course or personal study plan will take. See NASAA’s Series 65 exam information.
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Start with NASAA’s official study guide
NASAA publishes a free Series 65 study guide that outlines the material and provides a public starting point for preparation. NASAA also notes that private entities offer study materials for its exams. Find NASAA exam study guides.
What to check before choosing a paid course
Official sources identify private study-material providers but do not compare their courses, prices, formats, question banks, pass rates, or outcomes. Evaluate a course against your needs and the current NASAA outline. Check:
- Whether the materials align with the current exam outline, and when they were last updated.
- Whether the course includes practice questions and how access works.
- The format, access period, instructor or support options, and accessibility.
- The total price and refund terms.
These are comparison points, not endorsements of a particular provider. No course or exam pass guarantees a job or state registration.
Series 65 versus the Series 66 route
NASAA describes the Series 65 as the exam route for investment adviser representatives. Another route is the Series 66 together with a valid Series 7. NASAA’s model rule also describes timing and other conditions for these routes, but it is a model for jurisdictions to adopt, not a guarantee that every state uses identical requirements. Check your state regulator’s current rules and confirm your own eligibility. Read NASAA’s model rule on examination requirements.
Passing the exam does not grant registration
NASAA cautions that passing the Series 65 may satisfy only part of a state’s requirements and does not authorize business before that state grants a license or registration. Most states that license investment adviser representatives require an exam such as the Series 65 or an equivalent, an application, and a fee; some may also require a background check or impose other conditions.
NASAA says an individual normally has two years after passing to become licensed, and the exam remains valid while the individual stays licensed. Confirm the applicable deadline and requirements with the relevant state regulator, since state rules and individual circumstances matter. Review NASAA’s investment adviser representative exam FAQs.
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