RIA Registrar’s Exam Prep Resources Result in High Series 65 Pass Rates.

Why Take the Series 65?

Successfully passing the Series 65 is a huge part of becoming an RIA. Just about anyone can take the exam. However, it is designed to ensure only qualified individuals act as investment advisors.

What Does the Exam Cover?

The Series 65 exam tests prospective investment advisors’ knowledge of matters needed to properly advise and assist clients with investments. Officially called the Uniform Investment Adviser Law Examination, it is a closed-book exam consisting of 130 multiple-choice questions. Three hours are allotted to take the test.

The Series 65 exam covers numerous topics, including:

• Economic Factors and Business Information
• Retirement Planning
• Investment Vehicle Characteristics

• Client Investment Recommendations and Strategies
• Managing Portfolios
• Laws, Regulations and Guidelines
• Fiduciary Duties

Scoring on the 65

After registering to take the exam, prospective RIAs have 120 days to take the test and must achieve a score of at least 72 percent to pass.The best way to pass is to prepare, using study materials with proven high pass rates. RIA Registrar gives you what you need to pass the Series 65. License and registration requirements vary from state to state, but once you pass, RIA Registrar guides you through the next steps in the process.

RIA Registrar Prepares You to Pass the 65

RIA Registrar assists you with the first step in taking the Series 65: scheduling your exam through FINRA, the Financial Industry Regulatory Authority. You must take ownership of the next step: passing the exam. Without a passing grade, you cannot become a registered investment advisor.

RIA Registrar partnered with a professional trainer recognized for his ability to translate dry facts and terms into engaging material. With his unique approach to Series 65 topics, Robert Walker developed the best test prep for passing the 65 exam. Mr. Walker, MFA, translates securities jargon into simple English, embellishing important test strategies with dashes of humor.

With specific insights into the FINRA/NASAA series 63, 65/66, 6, and 7 exams, Walker’s Series 65 book, Pass the Series 65, divvies the exam into manageable sections. Within each topic, Walker explains terms and concepts vital to passing the exam in a direct and easy-to-understand manner with none of the tedious language too often used when dealing with securities. Within each lesson, there are practice questions so students may assess their understanding of the topic as they go. Additionally, the book includes study sheets summarizing each lesson and a glossary of important terms.

Beyond understanding the concepts covered in the test, Walker also provides numerous test-taking strategies to educate readers about how to avoid being misled by the Series 65 questions. The book includes three complete 135-question practice finals. Walker’s website provides additional materials, including additional practice exams, downloads and updates to the study materials.

RIA Registrar is here to support you through all stages of RIA compliance. Getting you off to a strong start as an RIA means successfully passing the Series 65 exam.