Knowledge Base

When would an investment adviser representative take or rely upon the Series 66 examination instead of the Series 65 examination?


Search Knowledge Base by Keyword

Created On
byRCC
< Back

If an individual seeking to register as an investment adviser representative already maintains a Series 7 and is registered with a securities broker-dealer as a registered representative, the individual would then be able to take or rely upon the Series 66 examination as an alternative to the Series 65. If an individual is not registered currently with a securities broker-dealer, he/she would need to take the Series 65 examination for purposes of registering as an investment adviser representative of investment advisor firm.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.