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Revised: 05/27/2015
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Uniform Investment Adviser (Series 65)
The Series 65 exam is required of individuals acting as or soliciting for the service of investment advisers. The exam may be required in addition to other exams. No Prerequisites The Series 65 test is made up of 130 multiple-choice questions. Each student will be given a total of 3 hours for the exam.The
Series 65 class is taught in
three sessions. No pre-study required. The
Series 65 course covers: Stocks,
Corporate Bonds, Special Securities, Options, US Government Securities,
Municipal Bonds, Money Market Instruments, DPPs, Investment Companies, REITs,
Annuities, Economics, Analysis, Handling Customer Accounts, Retirement Plans,
Taxes, Securities Markets, State Laws, Registrations, Rules, Prohibited
Transactions, and Definitions. All students will receive ESTI’s user friendly Series 65 Course Book with final exams.
Series 65 Exam Mobile Site
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Copyright 2001-2015 Empire Stockbroker Training Institute
534 Broadhollow Rd. (Suite 410)
Melville, N.Y. 11747