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If I pass the Series 65 examination, can I start acting as an investment advisor?


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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).

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