Series 65 Class

NASAA Series 65 – Uniform Investment Adviser Law Exam

The FINRA Series 65 exam covers laws, regulations, ethics and topics such as retirement planning, portfolio management strategies and fiduciary responsibilities. It is one of the exams required by many states in order to charge a fee for investment advice and services. It is meant to qualify the candidate to become an investment adviser representative.

This course is approved for 24 hours of Continuing Education, including Ethics, for those with an active Life, Accident & Health and/or Property & Casualty license as of the first day of class.  An additional fee would apply.

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