How to Register and Prepare for the Series 65 exam
The Series 65 exam is a key step in becoming an Investment Advisor Representative (IAR). Below is a step-by-step guide to help you register, study, and prepare for success.
1. Registration
Create a FINRA Account: Visit the FINRA Login Portal to create your user ID.
You will be asked to provide sensitive personal information, including:
- Full Legal Name
- Social Security Number (SSN)
- Date of Birth (DOB)
Note: This is a secure registration process managed by FINRA.
2. Sponsorship Requirements
Unlike other FINRA exams, the Series 65 does not require firm sponsorship.
If you are not currently registered on Form U4 or not affiliated with a FINRA-member firm, you must:
- Use Form U10 to register for the exam.
- Submit payment directly through FINRA’s Web CRD system.
Save your payment receipt—you will be eligible for reimbursement after successfully passing the exam.
For detailed instructions, refer to FINRA’s official FAQ:
Form U10 & Series 65 FAQ
3. Study Materials & Class Recommendations
We strongly recommend using Kaplan Financial for study materials and preparation courses.
Kaplan offers self-paced and instructor-led options that cover:
- Investment strategies and portfolio analysis
- Regulations and fiduciary responsibilities
- Retirement planning and ERISA-compliant accounts
The Series 65 license qualifies individuals to provide investment and financial advice to clients, including on ERISA-regulated accounts.
Start preparing with Kaplan:
Kaplan Series 65 Study Resources
Need Help or Have Questions?
If you have questions about registering, choosing study materials, or submitting for reimbursement, please contact your team lead or the Compliance department.