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If I have the Series 7 and Series 66, do I need to take the Series 65 examination?


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If an individual has successfully completed and currently maintains both the Series 66 and the Series 7 licenses with a registered securities broker-dealer, most state securities regulators will not require such an individual to take the Series 65 examination. However, if the individual does not maintain a broker-dealer affiliation as a registered representative and securities agent in the future, some state securities regulators will require the individual to successfully complete the Series 65 examination before continuing any further activities as an investment advisor representative.

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