Individuals not providing regular securities advice or charging fees may not need the Series 65. Professionals with certifications like CFP, CFA, or those with Series 7 and 66 licenses may be exempt.

Find out everything you need to know about the Series 65 license, the requirements you need to get it, and what you can do ...

The Financial Industry Regulatory Authority, which administers the exam, does not release Series 65 pass rates. The test covers financial industry regulation, securities law, ethics, investments ...

In addition, a candidate must be sponsored by a FINRA member firm. In contrast, the Series 65 license, which allows a candidate to join a registered investment advisory firm, has no sponsorship ...