There might be additional requirements for selling securities in your state or the state where you want to be licensed. You should check with the respective office of the Secretary of State to learn about anything else you need to do to earn your securities license.
FINRA says that the exams are "corequisites," but that does not mean you have to take both at the same time. Instead, they mean that you can't earn your license without taking both, and you can take them in any order. The licensing exams are not exactly a walk in the park.
You need to study with purpose and planning. To help you out, many retail brokerage firms have an in-house training program or, in some cases, they have an agreement with an external training provider. Exam preparation and review courses go a long way toward helping you pass your exams the first time. Simply visit this page.
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This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements. How hard is the Series 65 Exam and what does it cost to take the exam? Are there any professional designations which exempt someone from needing to take the Series 65 Exam?
How does a prospective investment advisor schedule the Series 65 Exam? Is there a continuing education requirement for an investment advisor representative? What are the annual registration fees for an investment advisor representative? Can an investment advisor representative be a dual registrant of multiple firms? Does an investment adviser representative need to be registered to an RIA firm? Yes, in order to conduct investment advisory business, an investment adviser representative must be registered to an RIA firm.
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