Series 65 Exam Candidate Frequently Asked Questions

Sep 25, 2026

Series 65 exam fact sheet content covers exam administration and structure, including computer-delivered multiple-choice format, 130 scored questions plus 10 pre-test items, a 180-minute time limit, and a required 72% passing score. It outlines scheduling through Prometric or Pearson VUE testing centers, available exam dates and locations, registration via FINRA U-10, applicable retake waiting periods after failed attempts, and required materials at the test center. It also explains topics included in the exam and provides sample-style questions with answer rationales.

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COMMON SERIES 65 EXAM CANDIDATE FREQUENTLY ASKED QUESTIONS

Who Takes the Series 65 Exam?

Is the Series 65 Exam Different State to State?

Do I Need Any Other Securities Licenses?

Do I Need a Sponsor?

What Content Does the Series 65 Exam Cover?

How do I Schedule my Series 65 Exam?

What Should I Bring to the Test Center?

What do the Questions on the Series 65 Exam Look Like?

Exam administration: The exam is multiple choice and is given on a computer D Number of questions: 130questions (plus 10"pre-test"questions that will not affect the candidate's score)/180 minute timelimit. ◎ Passing score required:72% Pre-requisites: None Exam fee: $155 ◎ Exam locations:You can schedule your exam with either Prometric(www.prometric.com)or Pearson VUE(www.pearsonvue.com) Exam dates:Computerized exams are given at Prometric and Pearson Vue Testing Centers Monday-Friday and selectlocations on Saturday and Sunday # COMMON SERIES 65 EXAM CANDIDATE FREQUENTLY ASKED QUESTIONS: Who Takes the Series 65 Exam? Currently,the majority of those who take theSeries 65exam are either securitiesprofessionals who have not passed the Series7 General Securities Representative Exam,orthose persons in related fields within thefinancial services industry-such asaccountants-who wish to be in the businessof providing investment advice for fees.Thisincludes,of course,those who work forinvestment advisory firms and wish to becomeinvestment advisory representatives(IARs). Is the Series 65 exam different state tostate? No,the Series 65exam is a federal exam andis the same in every state. Do I need any other securities licenses tohold a Series 65 license? No. Do I need a sponsor to take the Series 65? No,you do not need a sponsor or to beemployed by a broker/dealer to take theSeries 65exam.You can register as anindividual by filing a U-10 form found atwww.finra.org What content does the Series 65examcover? The Series 65exam underwent a dramaticchange that became effective in 2000.It hadlong been a 75-question exam that focusedprimarily on state securities laws (theUniform Securities Act)and ethics,butbecame a 130-question "competency exam"with a time limit of 180 minutes.In additionto questions about the USA and ethics,theSeries 65exam includes questions on thesubjects of economics,investment vehicles,investment strategies,analysis and ethics. # How do Ischedule my Series 65 exam? Once you have submitted your U-10 form,you will have to wait until your testingwindow is opened.Then you may scheduleyour exam with either Prometric orPearsonVUE. If I don't pass is there any waiting period thatapplies before I can retake the Series 65exam? # What should I bring to the test center theday of my Series 65 exam? You should bring your Key Facts from ourSeries 65exam prep course to re-read justprior to going in to take your Series 65exam.This will load your memory for the test.Youcannot take anything into the test room withyou other than what the proctor providesyou.You will be able to leave your personalbelongings in a locker in the testing centerwaiting room.They will provide you with apen/pencil,scratch paper,and a basicfunction calculator at the test site.Make sureto write down your cheat sheet on yourscratch paper when you sit down at yourcubicle prior to starting your Series 65exam.This will allow you to refer back to itwhenever you need to during the exam. If you study correctly you will pass this exam.The following waiting periods apply forindividuals needing to retake the Series 65exam following a failed attempt:(1)aminimum of 30 days after failing the firstexam before the second taking of the examcan be scheduled;(2)a minimum of 30 daysafter failing the exam for the second timebefore the third taking of the exam can bescheduled;and(3)a minimum of 180 daysafter failing the exam for a third time beforethe fourth taking of the exam(and eachsubsequent taking)can be scheduled.Thesewaiting periods mirror those in place forFINRA-sponsored examinations. # What do the questions on the Series 65exam look like? Here are two Series 65 exam questions thatHere are two Series 65 exam questions thatcome from our materials that are verycome from our materials that are verysimilar to the formatting and content of thesimilar to the formatting and content of thequestions on the exam:questions on the exam: A.

FAQs

Who takes the Series 65 exam?

Most candidates are securities professionals who have not passed the Series 7 General Securities Representative Exam, or people in related financial-services roles such as accountants who want to provide investment advice for fees as investment adviser representatives (IARs).

Is the Series 65 exam the same in every state?

Yes. It is a federal exam, so the content is the same in every state.

What should candidates bring to the test center and how are retakes handled?

Candidates should bring their Key Facts from the Series 65 exam prep course to review right before the exam, but they cannot bring anything else into the test room. They can store personal belongings in a locker. Waiting periods apply after failures: at least 30 days before the 2nd attempt, at least 30 days before the 3rd attempt, and at least 180 days before the 4th and subsequent attempts.

Sep 25, 2026

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