The Best Series 65 Exam Prep Products

How do we know our products are the best? Simple. It all comes down to passing the test. Our Series 65 exam prep materials boast the highest pass rates in the industry and will guide you through your entire exam prep process. 

Our series 65 Textbook, Test banks and video classes are designed to work with you and explain each concept, step by step. 


Our Series 65 materials come with our money back GreenLight Guarantee ™ – pass our GreenLight exam within 5 days of your actual exam, and if you do not pass, we will refund your money.


Ensure you are ready to pass your exam today with our best in class Series 65 training materials

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work with a Series 65 Exam tutor to increase your score by an average of 10 points

This is our most comprehensive series 65 training solution. Everything you need to Pass the series 65 exam, Complete with our series 65 money back GreenLight Guarantee. Purchase all the Series 65 products in one package and save big. If you are serious about passing the Series 65 exam, then this package is for you. It includes ALL of the following exam preparation products:

  • Textbook 2021 - 516 pages
  • test bank 1,800 questions
  • Online Video Class - 13 hours
  • Ebook 2021 - 516 pages
  • Free Shipping
  • Updated January 2021
  • Unlimited access to videos and test bank for 6 months
Series 65 Complete Self Study Solution play button

Purchase both the Textbook and Exam Prep software - all in one package. This is one of our more popular deals and includes:

  • Textbook 2021 - 516 pages
  • Test bank - 1,800 questions
  • Free Shipping
  • Updated January 2021
  • Unlimited access to test bank for 6 months
Series 65 Textbook & Exam Prep Software

Series 65 Exam Prep

  • Over 1800 questions
  • Works with all major browsers and mobile devices
  • Updated January 2021

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 65 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 65 exam.

Series 65 Exam Prep Software
  • 24 x 7 access for 6 months
  • Fully interactive
  • 13 hours of instruction

Our all new series 65 video class is hands down the best series 65 online class in the market today. Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight test points for easy note taking. This video class walks you through all of the topics you need to know to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 65 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 65 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 65 video features include: 1) 13 hours of HD video broken into 15 sections 2) Over 2 hours detailing recommendations and portfolio analysis. over 2 hours detailing The Uniform Securities Act 3) Our videos are accessible on all devices ( all computers, phones and tablets) 4) Our series 65 video class contains new test tips and details exactly what topics are being tested and how they are being tested 5) Our series 65 video course follows our books chapter by chapter and topic by topic 6) 15 Chapter Tests 7) Instant unlimited access 24X7 for 6 months

Series 65 Online Video Class play button



Get Videos and Exam Prep Software:


  • Sample Video
  • Online - access anywhere, anytime
  • Updated March 2020
  • Paperback
  • 516 pages
  • 201 test questions
  • Published March 2020
  • Free Shipping

The go to guide to acing the Series 65 exam - Our Series 65 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 65 exam. The Wiley Series 65 textbook is packed with test tips, Series 65 sample questions and all the must know information you need to pass your exam. Our Series 65 textbook has been developed in partnership with John Wiley & Sons to ensure you have the absolute best Series 65 material.

Series 65 Exam Textbook



  • Series 65 Sample ChapterPDF
  • Textbook Table of ContentsPDF
  • Textbook IndexPDF
  • IOS
  • Android
  • Kindle FIRE HD
  • Kindle FIRE HDX
  • Nook HD
  • Nook HD +
  • Published March 2020

If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 65 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 65 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach. If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders. Want to see what other students are doing? Then join a study group and share highlights, notes, questions, test tips and ideas with each other.

Series 65 Mobile Ebook



Series 65 License Frequently asked questions / FAQs

There are a large number of reason why candidates seek to become series 65 licensed. Some are entering the financial services business for the first time and are just starting out in a new career. Others are more established financial service professionals and are seeking to expand their product offerings to their clients. A series 65 license is required if a registered representative is offering managed account platforms to clients. Many managed accounts charge asset based fees and allow agents to share in the fees. As such, these representatives will need to obtain a series 65 license. If you are joining a stand-alone advisory firm, your employer as a condition of employment or promotion, will require you to obtain the series 65 license to function in your new job. Your firm’s compliance department, home office or HR will notify individuals directly or through their manager as to the time frame for taking the exam

A series 65 license will allow you to become registered an investment adviser representative. This license will allow you to represent an investment advisory firm offering advice to clients regarding the purchase and sale of securities, the value of securities and or in the creation of financial plans. This advice is offered for a fee, and the series 65 license will allow you to share in the fees charged by the advisory firm. Most fees are charged as a percentage of assets in the account, known as assets under management or AUM. Other fees can be charged in the form of hourly fees, subscription fees for news letters or a flat fee for the creation of a financial plan. Regardless of how your advisory firm charges fees, a series 65 license will be required. Your series 65 license will not allow you to earn commissions for executing orders for stock, bonds or mutual funds.

The series 65 exam presents challenges for most test takers in one area or another. The information tested covers complex topics relating to portfolio management, client recommendations and strategies and the powers of the state securities administrator. To be successful and become series 65 licensed you must demonstrate that you have mastered these areas. Every person who sits for the series 65 exam is coming from a different background. What one person finds easy to master, another may find very challenging. Historically the advanced portfolio concepts, adviser registration, and the areas relating to the application of the Uniform Securities Act tend to be among the most challenging areas. You should prepare for the exam by reading a textbook completely with a highlighter. You must read the book, there are no shortcuts and students need to understand this. You must clear your schedule, shut off your phone and focus. In addition to obtaining the knowledge required by the exam, you must master the application of the information by taking as many practice questions as you can. We recommend at least 60 – 70 hours of preparation to ensure you pass your series 65 exam and become licensed to represent a registered investment adviser.

The answer is, that while it feels like your series 65 license is indeed transferable, in actuality it is not. If you want to change firms, your series 65 registration / license along with all of your other registrations must be terminated by your employer. If you are registered at a FINRA member firm, Your former employer / the firm that you are leaving will fill out and submit a Form U5 to FINRA. This will terminate your employment and your registration with that firm. When you arrive at your new firm you must fill out and submit a new Form U4. This will begin your registration with your new firm and your series 65 license will become active at your new firm upon receiving notice from FINRA and the states where you conduct business. If you are associated exclusively with a registered investment advisory firm, your firm will initiate and terminate individual registrations through the investment adviser registration database or IARD. It is important to note that passing the exam does not grant you a license. Your license will only become effective once you have received notification from each state where you plan to conduct business, that you license has become effective.

Obtaining a series 65 license will require many people to make an investment in their professional development. Your series 65 license will qualify you as an investment adviser representative. It does not make you a registered investment adviser or RIA. Only the firm you work for will be the registered investment adviser. Many people who obtain a series 65 license enjoy lucrative and successful careers in the investment advisory industry. The good news is, for those who absorb the costs, they are relatively low when compared to other types of training, certification and college expenses. Some employers pick up or reimburse the costs of training and the testing and registration fees. Even for these people many obtain additional resources such as additional test questions, books or videos to ensure they pass their exam and become licensed. For those who have to pay all of the expenses out of pocket, it usually only costs a few hundred dollars for the testing fees and quality training materials. . You will find that obtaining a series 65 license opens many doors for you throughout your career.

While NASAA, the North American Securities Administrators Association is contemplating enacting continuing education requirements for investment adviser representatives, at the present time there are no continuing education requirements. That being said, if you hold a FINRA license such as the series 6 or 7, you will be required complete the FINRA mandated continuing education requirements for that license.

Your series 65 license is most likely the only license you will need if you plan on conducting business exclusively at a stand-alone investment advisory firm. If you wish to represent a broker dealer and to receive commissions on securities transactions you will be required to obtain a series 6 or 7 if you have not already done so. We hope that this answers many of your frequently asked questions about the series 65 license. If you have any additional questions please call or email us.

Passing the Series 65 Exam requires a score of 72% or higher. PLEASE NOTE: This exam is completely closed book. Participants will finish the exam on their own and then instantly receive their results.

Passing this type of intricate, detailed exam requires both dedication and focus. However, it can be difficult to know where to start. In fact, we are asked almost daily about the best way to prepare for the Series 65 Exam and how potential candidates should move forward. The answer isn’t as simple as you might think! What we have learned is that every student, every participant is different. And, as such, they need to prepare in a way that works best for them. That is why we have created a strong mix of materials to help them both learn and master the material. No matter how you prepare, you must read a professional level series 65 textbook completely. There are no shortcuts. You must also take more than 1,000 practice questions in order to master the application of the material on your exam.


Good luck on your exam.


The Securities Institute of America, Inc

Series 65 Important Concepts


A stock’s alpha is its projected independent rate of change or the difference between an investment’s expected return and its actual return. Portfolio managers whose portfolios have positive alphas are adding value and increasing the return through their asset selection.


A stock’s beta is its projected rate of change relative to the market as a whole. If the market was up 10% for the year, a stock with a beta of 1.5 could reasonably be expected to be up 15%. A stock with a beta greater than one has a higher level of volatility than the market as a whole and is considered to be more risky than the overall market. A stock with a beta of less than one is less volatile than prices in the overall market and is considered to be less risky. An example of a low beta

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Analyzing Bonds

In a normal interest rate environment, longer-term bonds will pay investors a higher interest rate than short-term bonds of equal quality. As interest rates change the price of existing bonds will move inversely to the change in interest rates. A bond’s duration is a measure of the bond’s price sensitivity to a small change in interest rates and is stated in years. Longer term bonds and bonds with low coupons will generally have a higher duration than shorter term or higher yielding bonds. The higher the bond’s duration, the greater the bond’s interest rate risk and the greater its price volatility. Duration allows investors to compare the interest rate risk associated with bonds of different maturities, quality, and coupons. The bond’s duration may be stated as either modified duration or effective duration. Modified duration assumes

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Understanding Supervision

Economics, put simply, is the study of shortages – supply vs. demand. As the demand for a product or service rises, the price of those goods or services will tend to rise. Alternatively, if the provider of those goods or services tries to flood the market with those goods or services, the price will tend to decline as the supply outpaces the demand. The supply and demand model works for all goods and services including stocks, bonds, real estate, and money. Series 65 candidates can expect to see 10 to 15 questions on economics.

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Investment Adviser State Registration

It is unlawful for an investment adviser to conduct securities business without being duly registered or exempt from registration. State registration exemptions are provided for investment advisers who:

  • Are federally registered
  • Manage portfolios for investment companies
  • Manage portfolios in excess of $100,000,000
  • Have no office in the state and conduct business exclusively with financial institutions
  • Have no office in the state and offer advice to no more than five clients in any 12-month period. This is known as the de minimis exemption

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