Series 65: Registration Exceptions

Taken from our Series 65 Online Guide

Registration Exceptions

The registration exceptions for investment adviser representatives are the same as for investment advisers. Investment adviser representatives do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Individuals who fall into the above categories would not need to register as investment adviser representatives within a state.

• Note: An investment adviser is responsible for supervising individuals who work for

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Registration Exceptions, you might also be interested in:

Series 65 - 7.3.1. Holding Period Returns

Series 65 - 6.1.1.1.2.3. Commissions and Fees

Series 7 - 6.2.1. Types of Closed-End Funds

Series 79 - Chapter 5

Series 66 - Operating Profit (EBIT)

Series 24 - 3.4.1.1. Periodic Confirmations

Series 82 - Integration and Aggregation

Series 50 - Unique Features of Municipal Bonds

Series 65 - How Mutual Funds Do Business

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the Series 65 Exam and passed with a good score. Thank you for all the materials. I did have to put a lot of study time into it but with hard work, your materials and prayer I passed!

Carla Martinez, GoodFuture, Laguna Beach, CA

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time. Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email and the author/owner Jeremy Solomon actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam. Thank you Solomon Exam Prep!!!!!

Carol K. Gallagher TIAA-CREF Upstate New York

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

The audio book was fantastic, and I passed the Series 65 on my first attempt. Thank you!

Steve O'Dell, Merrill Lynch, Westchester, NY

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY