Series 65 requirements at a glance
| Requirement | Rule |
|---|---|
| Minimum age | No minimum stated by NASAA |
| Sponsorship | Not required |
| Prerequisites / co-requisites | None |
| Exam fee | $187 |
| Result valid for | 2 years before registration; then valid while registered |
| After you pass | Register as an investment adviser representative through your adviser firm (state registration via CRD/IARD). |
- 1,706 original questions across 6 exams
- Section drills + timed full-length exams
- 12 months, one-time - emailed to you after purchase
Your course access is emailed to you after purchase. 14-day money-back guarantee. Refund policy
What that means in practice
The Series 65 has no prerequisite, no co-requisite and no sponsorship requirement. NASAA lets candidates who are not U4-registered or affiliated with a firm open an enrollment window themselves through FINRA’s Test Enrollment Services System.
That makes the 65 the usual first license for career changers heading to RIAs. You still need an adviser firm to register you as an IAR, and your pass must be used within two years.
Next steps
SIE to Series 66 prep course - $39
SIE, Series 6, 7, 63, 65 and 66 in one prep course: 1,706 outline-weighted practice questions with explanations, section drills and timed full-length exams. One-time payment, 12 months of access, emailed to you after purchase.
Your course access is emailed to you after purchase. 14-day money-back guarantee. Refund policy
Frequently asked questions
Do I need a sponsor for the Series 65?
Not required.
What are the prerequisites for the Series 65?
None.
How long is the Series 65 valid?
2 years before registration; then valid while registered.
Sources
- FINRA - Series 65 Uniform Investment Adviser Law Exam (accessed 2026-09-23)
- NASAA - Exam FAQs (accessed 2026-09-23)