Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

There are very few post-registration requirements for investment adviser representatives, aside from the IAR not breaking the law and the IAR’s firm renewing his registration in a timely manner. The most likely post-registration requirement would be many states’ requirement to engage in some type of continuing education during each renewal period.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

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

Series 24 - Clearing: Trade Comparison and Confirmations

Series 24 - Form BD (“BD” = Broker-Dealer)

Series 24 - Third-Party Trades

Series 65 - 3.7.4.8.2. Annuitization Phase for a Non-Qualified Annuity

Series 79 - 9.6.1. Regulation FD

Series 27 - Chapter 4 Practice Questions

Series 26 - Numbered Accounts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY

Great study materials. The program provided the information needed to successfully pass the Series 65. Thanks Solomon!

Bryan Acuto, Trust Advisory Group, Woburn, MA

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

I passed the Series 65 exam on my first attempt. Your practice exams really helped. Thanks again.

Colin Tucker, Little Rock, AR