Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Choose IA or not an IA.

1. _____ Jim, who works for Your Interest, a firm that receives compensation for giving investment advice.

2. _____ Silvia, who teaches a course at a community college that includes several classes focused on general strategies for financial investment.

3. _____ Valued Services, a broker-dealer firm that pays its employees a commission for securities traded as well as occasional compensation for giving advice on which investments are best suited for clients’ portfolios.

4. _____ Investments Publishing, the publisher of a subscription-based interactive website with a component that allows investors to enter personal information and receive advice that matches their needs.

5. _____ Beth, an agent for Security Group, who gives investment advice but is only compen

+ Read More

More Series 65 Info

What are people saying?

Create an Account

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

Series 24 - The Price of a Mutual Fund

Series 65 - Other Types of Bonds

Series 24 - 5.6.1.3. Electronic Communications Networks

Series 24 - 2.2.1.4.2. Office of Foreign Assets Control

Series 65 - 2.3. Preferred Stock

Series 26 - Correspondence and Institutional Communications

SIE - 8.1.5. Form CRS

Series 65 - Roth 401(k)

Series 50 - Asset-Backed Securities

Series 82 - 3.3.4.1. Debenture Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Steve O'Dell, Merrill Lynch, Westchester, NY

Well, I finally was able to take my Series 65 and passed with an 85%. I think that the combination of your Series 65 text along with our other vendor made all the difference. It was good to have an additional reference for clarity and in some cases more detailed and straight forward discussion. Thank you for the materials.

Alesia Mullis, Churchill Financial, Louisville, KY

Just wanted to let all of you know that I passed the 65 on 4/19/10. I got a 76%! Not the highest score, but good enough!!! Thank you so much for all your help. Your study materials (book, audio, and exam simulator) were instrumental in my passing this test the first time! I'll be sure to let any future test takers in my office know about your products! Thanks again!

Sandy Widmer, BGR Financial Group LLC, Tucson, AZ

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I passed the test [the Series 65] with flying colors. Your study material, particularly the book and the online exams were the difference maker. Other individuals in my firm used exam prep courses from other companies and unfortunately did not pass the exam. I am confident in saying that these materials were the difference maker. Thank you for creating such a great product. Everyone in my firm will use your simulators going forward.

Chris T. Chambers, Senior Partner, My Harvest Field, Inc., Clearwater, FL

The material and website were very well organized and thorough. I felt I was prepared for the actual, real test when I took it because I had gone through their range of questions with all the practice tests that I could do on their website, covering every topic, approached with different angles.

Stacey Sperry, Durham, NC