Series 65: Post-Registration Requirements

Taken from our Series 65 Online Guide

Post-Registration Requirements

Agents are not subject to as many post-registration requirements as the broker-dealers they represent, but are expected to help their broker-dealers meet all recordkeeping requirements and comply with all audits, as needed. Agents are responsible for meeting any conditions for ongoing registration set by their state, however, and provide any documentation needed as evidence of meeting such conditions.

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Great study materials. The program provided the information needed to successfully pass the Series 65. Thanks Solomon!

Bryan Acuto, Trust Advisory Group, Woburn, MA

The Exam Prep online exams solidified the material in my mind and allowed me to use the timer to think quickly. Although the Series 65 exam is not a race, time is a key factor. I finished the test in about and hour and 10 minutes and then spent 20 minutes going back to review the questions I marked, a couple of which I had to use logic to guess what the terms meant (always dangerous to use logic when it comes to this stuff). After completing I pressed the button to submit it for grading and the whole while my heart was pounding as I thought for sure I failed due to the length of time it took to grade (I am certain the computer was laughing at my getting so many ridiculous questions on one test). Lo and behold when the screen returned I got an 82 and I don't think that I could have done it with out your book and your online tests to hammer the info in to my head. At 45 years of age having been removed from college for to many years it was quite an arduous task especially with out a class and about 2 months to prepare part time on my own. So in a long winded way thanks I am sure I could not have passed the Series 65 without your help.

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Landry Mead, Goldman Sachs Ayco Personal Financial Management. Dallas, TX

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Ralph Marshall, High Speed Alliance, Wilmington DE