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The Series 65, or the Uniformed Investment Advisor Law Exam, is a securities license required by most states for individuals who wish to become investment advisors. In order to work as an investment advisor in states that require a Series 65 qualification, individuals must first pass the Series 65 exam. The exam has 130 multiple-choice questions, which test-takers must finish answering within the 180-minute time limit. Those who get at least 72.3% of the questions correct receive their Series 65 license.
Those who are preparing to take the exam should spend time studying and taking practice tests before test-day. The exam covers things an investment advisor needs to know like laws, regulations and ethics. It also covers the practical topics an advisor has to know to perform their job. This includes activities like retirement planning, portfolio management strategies, and more. The Series 65 exam splits its content into four distinct sections. The first is economic factors and business information. The second is investment vehicle characteristics. The next section is client investment recommendations and strategies. Finally, the test concludes by asking candidates to answer questions about the laws, regulations, and guidelines that are important to an investment advisor.