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Has anyone taken the FINRA's series 65 exam?


muscleman
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I've taken the 7, 63, and in process of taking the 66. As a prospective investment advisor representative, you must be operating under an Investment Advisor (IA). They'll give you the ID #.

 

The exception to this is if you are the IA. If that's so, you'll be filing Form ADV with either the SEC or one or more states. If that's the case you probably wouldn't be asking the question.

 

Feel free to PM me.

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Is the FINRA number the same as your CRD # (central registration depository)?  If it is, type your name into broker check at http://brokercheck.finra.org/.  This will give you your number. 

 

I personally hold the series 7 and 66.  Can't help you on the 65 unfortunately.

 

Yes. On FINRA's website it is asking for this CRD #.

I will be the IA myself, so it sounds like I need to establish my firm first to get the CRD # before I can take the series 65 exam?

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Is the FINRA number the same as your CRD # (central registration depository)?  If it is, type your name into broker check at http://brokercheck.finra.org/.  This will give you your number. 

 

I personally hold the series 7 and 66.  Can't help you on the 65 unfortunately.

 

Yes. On FINRA's website it is asking for this CRD #.

I will be the IA myself, so it sounds like I need to establish my firm first to get the CRD # before I can take the series 65 exam?

 

I don't think that's right.  I think you file Form U-10 if you are not currently with a firm.  It asks for firm information but it is not required.

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Ok, I just registered and scheduled the exam.  Fill out the U-10 first (you have to register an account but you don't need a CRD).  Leave the section on firm information blank.  They will get back to you about a day later with an enrollment window and an ID number.  When you go to schedule the exam, use that ID number to register your account (yes, you have to register again and provide the ID number) and then schedule your test.

 

I've seen a lot of confusion on this point, but you do not need to be sponsored by a firm to take the series 65.  Series 7 and possibly others yes, but not the 65.  After passing the exam you have two years to get you and your firm registered/licensed.

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