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Form ADV – Part 3 – Conversation Starters Script
June 10, 2020
An investment adviser firm must give a firm brochure to each client before or at the time you enter into an advisory agreement with that client. See SEC Rule 204-3(b) and similar state rules.
When does my investment adviser firm need to provide clients with its updated Form ADV Part 2A brochure?
November 01, 2019
The updated Form ADV Part 2A brochure will need to be provided going forward to all new clients and existing investment advisory clients requesting a current version of the brochure. However, an investment adviser firm is not required to send a revised Form ADV Part 2A brochure to all existing investment advisory clients every time a material change is made. An investment adviser firm only needs to deliver once per year no later than 120 days after the investment adviser firm’s fiscal year-end either (1) the current Form ADV Part 2A brochure with material changes made within the prior one-year period or (2) a summary of material changes made within the prior one-year period with an offer to provide a complete copy of Form ADV Part 2A brochure upon request. This is commonly referred to as the “annual offer”.
How many times can I take the Series 65 examination?
November 02, 2018
The Series 65 test may be taken as many times as needed to pass.
What happens if I fail the Series 65 examination?
November 02, 2018
The Series 65 examination may be retaken after a minimum of 30 days after the first test date. If the Series 65 examination is failed again, the individual must wait another 30 days before taking the Series 65 test. After failing the Series 65 exam a third time, an individual must wait up to 180 days before scheduling the Series 65 examination again.
No. The Series 65 is a prerequisite for an individual that desires to register as an investment advisor representative. After you successfully pass the Series 65 test, you will then register as an investment advisor representative with the applicable state securities regulators. You will need to contact your registered investment advisor firm and ask the firm to submit your completed Form U4 through the WebCRD system. Please note there will be an additional fee charged by the state securities regulator and must be paid prior to filing the Form U4, and certain states will require your fingerprints (if you haven’t previously submitted to CRD system).
When will I learn of my results after taking the Series 65 examination?
November 02, 2018
Your results are displayed on your computer screen immediately after you finish the Series 65 test. The applicable state securities regulator and your registered investment advisor will be able to access your Series 65 test score through WebCRD.
What is a passing score of the Series 65 examination?
November 02, 2018
The passing score of the Series 65 test is 72 percent, which is 94 correct responses for the 130 test questions comprising the exam. The 10 pretest questions do not count towards your final score. The Series 65 examination must be finished within 180 minutes.
What are common mistakes when taking the Series 65 examination?
November 02, 2018
Statistically, your first instinct for a multiple choice answer is generally the correct one. By reviewing every answer at the end of the Series 65 test, you have a greater chance of changing a correct answer to an incorrect answer. We advise that you only review the answers to the questions that you truly do not know.
