Series 65

Series 65 Exam
Series 65 – Uniform Investment Adviser

The Series 65 exam is required of individuals acting as or soliciting for the service of investment advisers. The exam may be required in addition to other exams.

No prerequisites

The Series 65 course covers: 

Stocks, Corporate Bonds, Special Securities, Options, US Government Securities (Treasury Bills, Treasury Notes, Treasury Strips, Treasury Bonds, etc.), Municipal Bonds, Money Market Instruments, DPPs, Investment Companies, REITs, Annuities, Economics, Analysis, Handling Customer Accounts, Retirement Plans, Taxes, Securities Markets, State Laws, Registrations, Rules, Prohibited Transactions, and Definitions.

The Series 65 test has a total of 140 questions. However, only 130 of the questions count toward the Series 65 grade. So, this means that the other 10 questions are experimental and could appear in any position within the Series 65 exam. To pass the exam, each candidate must correctly answer at least 94 (72%) of the 130 questions. Each person has a total of 3 hours to complete the Investment Adviser Series 65 license exam.


Series 65 Course Textbook (2023)

Series 65 Course Textbook with chapter exams, final exams and a glossary of Series 65 terms


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About the book:

The Series 65 Exam License Book is a 530 page book which was developed by Empire Stockbroker Training Institute. Because we understand your frustration, our study manual is written in plain English with shorter paragraphs. Also, our book is focused on the NASAA Series 65 Exam content with no unnecessary fluff. Key features:

  • Updated for 2023
  • Comprehensive – The Series 65 Course Textbook is complete and easy to understand
  • Diagrams – These not only help make studying more enjoyable they also help you visualize difficult concepts
  • Notes and Tips – Key points mixed throughout the chapters to emphasize important ideas
  • Chapter Exams – Multiple-choice questions at the end of each chapter with detailed explanations
  • Final Exams – Four 130-question Series 65 practice exams with detailed explanations
  • Glossary – Each book includes a glossary of investment adviser terms

Below you’ll find sample pages from the Empire Series 65 Book:

All books were created by Steven M. Rice and Rueben Martinez

Series 65 Tutoring

NASAA Series 65 Course Outline

Free Series 65 Exam Practice Questions