Will my current firm be aware that I am taking this exam?
If you are currently a registered representative of a broker dealer, FINRA requires that you register for the Series 65 or Series 66 exam through your broker dealer. To discuss [...]
Are there exemptions to the Series 65 or Series 66 exam?
Yes. Certain professionals designations, held in good standing and reported to FINRA, such as Certified Financial Planner (“CFP”), Chartered Financial Analyst (“CFA”), Personal Financial Specialist (“PFS”), Chartered Financial Consultant (“ChFC”) [...]
Do I need to be sponsored by a broker-dealer to take the Series 65 or Series 66 exam?
If you are not currently registered with a broker-dealer, you do not need to be sponsored by a broker-dealer to take the Series 65 or Series 66 exams. These exams [...]
What exams are required to become an IAR?
To establish an investment advisory firm, all individuals involved with providing investment advice to your clients must pass a Uniform Advisor Exam or qualify for an exemption. The exam options [...]