Series 65 Securities Exam – Securities License Exam Preparation

The Series 65 Securities Exam is required by most states for individuals who wish to act as investment Advisors. The Series 65 exam is waived by some states if the applicant has the CFP (Certified Financial Planner), the ChFC (Chartered Financial

Consultant), APFS (Accredited Personal Financial Specialist), CFA (Chartered Financial Analyst), the CIC (Chartered Investment Counselor), or other designations or items as ruled by the (state) administrator.

No Prerequisite | $175 Test Fee (Form U-10) | 3 hour time limit | 72% to pass

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
Economic Factors & Business Information: Basic concepts; financial statements; quantitative methods; risks 19
Client Investment Recommendations & Strategies: Financial profile; capital market theory; portfolio strategies; taxation; retirement plans; ERISA issues; special types of accounts (529-Coverdell-etc) 40
Investment Vehicles Characteristics: Cash equivalents; fixed income; equities; investment companies; derivatives; annuities; real estate trusts and partnerships; life insurance 31
Laws-Regulations-Guidelines including Prohibition on Unethical Business Practices: Federal and State securities laws; ethical practices 40
***Total Questions*** ***130***

Series 65 Uniform Registered Investment Advisor Exam Study Materials

Study Book for Series 65

Study Book for Series 65

$135.00Add

Series 65 Exam Study Book

The Series 65 600+ page program comes in two 8 1/2 x 11? perfect bound books (the study text and the final exam book) — and is specifically designed for the self-study student.

  • The Study Text contains “Micro-Sections” and great page formatting that allows fast reading andemphasizes key points that you’ll probably see on the exam. Strategic quizzes are frequently spaced as you go along.
  • The Final Exam Book contains 10 Final Exams that will make sure there are no surprises when you sit for the real exam!

Key point: All questions have detailed expanded answers. Over 1,300 section questions and final exam questions in total — and they are “Exam-Tough”.

DATABANK for Series 65

DATABANK for Series 65

$135.00Add

Series 65 DATABANK of Final Exams

Designed to complement our Printed Materials, Series 65 DATABANK Practice Exams software is a convenient and effective method of testing your overall comprehension of the material.

Using DATABANK Practice Exams software prepares you for the actual test by presenting practice questions of similar complexity to that of the real exam.

The web based DATABANK Practice Exams tests include:

  • Always Up To Date
  • Unlimited Quizzes for each of the major topics covered on the Series 65 exam:
    • Economics & Analysis
    • Investment Vehicles
    • Investment Recommendations
    • Legal Guidelines
  • 30 Finals, covering material from all major topics, and weighted in the same manner as the material in the actual exam
  • Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.
  • No two tests in DATABANK Practice Exams are the same — the depth of the question pool (approximately 5,000 questions) ensures that each question you sees is unique.
  • All of the tests are weighted in the same manner as the material in the actual exam.

System Requirements:

Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

Supported browsers on Windows or Mac OS:

  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)
DATABANK and Study Book for Series 65

DATABANK and Study Book for Series 65

$200.00Add

Series 65 Exam Study Book + DATABANK of Final Exams

Exam Study Book

The Series 65 600+ page program comes in two 8 1/2 x 11? perfect bound books (the study text and the final exam book) — and is specifically designed for the self-study student.

  • The Study Text contains “Micro-Sections” and great page formatting that allows fast reading and emphasizes key points that you’ll probably see on the exam. Strategic quizzes are frequently spaced as you go along.
  • The Final Exam Book contains 10 Final Exams that will make sure there are no surprises when you sit for the real exam!

Key point: All questions have detailed expanded answers. Over 1,300 section questions and final exam questions in total — and they are “Exam-Tough”.

DATABANK of Final Exams

Designed to complement our Printed Materials, Series 65 DATABANK Practice Exams software is a convenient and effective method of testing your overall comprehension of the material.

Using DATABANK Practice Exams software prepares you for the actual test by presenting practice questions of similar complexity to that of the real exam.

The web based DATABANK Practice Exams tests include:

  • Always Up To Date
  • Unlimited Quizzes for each of the major topics covered on the Series 65 exam:
    • Economics & Analysis
    • Investment Vehicles
    • Investment Recommendations
    • Legal Guidelines
  • 30 Finals, covering material from all major topics, and weighted in the same manner as the material in the actual exam
  • Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.
  • No two tests in DATABANK Practice Exams are the same — the depth of the question pool (approximately 5,000 questions) ensures that each question you sees is unique.
  • All of the tests are weighted in the same manner as the material in the actual exam.

System Requirements:

Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

Supported browsers on Windows or Mac OS:

  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)
NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.