Series 65: Exemptions From Registration

Taken from our Series 65 Online Guide

Exemptions from Registration

For the exam, it is as important to know who doesn’t need to register as who does. When thinking about who is exempt from registration, you need to think about two different types of agents: agents representing broker-dealers and agents representing issuers.

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I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

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