RIA [Registered Investment Advisor]

Non-investing personal finance issues including insurance, credit, real estate, taxes, employment and legal issues such as trusts and wills
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Kennyt7
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Joined: Mon Jan 19, 2015 7:28 pm

RIA [Registered Investment Advisor]

Post by Kennyt7 » Sun Jul 23, 2017 2:57 pm

Need to find source material for series 65 Exam
Any suggestions well appreciated

mhalley
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Joined: Tue Nov 20, 2007 6:02 am

Re: RIA [Registered Investment Advisor]

Post by mhalley » Sun Jul 23, 2017 5:23 pm

To give you a bump: You might change the title of the post, RIA is too generalized for your specific topic. Maybe recommendation for series 65 exam or something.
Last edited by mhalley on Sun Jul 23, 2017 5:27 pm, edited 1 time in total.

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ThePrune
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Location: Midland, MI

Re: RIA [Registered Investment Advisor]

Post by ThePrune » Sun Jul 23, 2017 5:26 pm

I studied using the book, Pass the 65. I thought it was reasonably well organized and yet still detailed.
Investment skill is often just luck in sheep's clothing.

amateurnovice
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Joined: Wed Mar 11, 2015 1:56 pm

Re: RIA [Registered Investment Advisor]

Post by amateurnovice » Sun Jul 23, 2017 5:44 pm

whatre you trying to do, open your own IA or join one

ny_knicks
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Joined: Wed Jan 04, 2017 11:20 pm

Re: RIA [Registered Investment Advisor]

Post by ny_knicks » Sun Jul 23, 2017 6:44 pm

Knopman and Securities Training Corporation are the two big ones that I know of that provide courses/materials for the FINRA Series exams

amateurnovice
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Re: RIA [Registered Investment Advisor]

Post by amateurnovice » Mon Jul 24, 2017 5:17 pm

series 65 makes you an IAR, so you have a fiduciary duty. the test is mostly about laws of RIAs/IARs and some investment advice/suitability/product stuff from the Series 7

venkman
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Re: RIA [Registered Investment Advisor]

Post by venkman » Mon Jul 24, 2017 9:17 pm

ThePrune wrote:I studied using the book, Pass the 65. I thought it was reasonably well organized and yet still detailed.
This is what I used, too, and it prepared me pretty well. Although the version I got (which I think was the most recent) had some blatantly obvious editing mistakes (e.g. A line that says "Insert chart here" and no actual chart). But overall, the information is good, and the writing style isn't too dry.

Definitely take a few practice tests before you sign up for the real thing. (NOT the free one on Investopedia; that hasn't been updated in probably a decade.)

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ThePrune
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Location: Midland, MI

Re: RIA [Registered Investment Advisor]

Post by ThePrune » Thu Jul 27, 2017 1:52 pm

venkman wrote:Definitely take a few practice tests before you sign up for the real thing. (NOT the free one on Investopedia; that hasn't been updated in probably a decade.)
This is a good suggestion!

I forgot to mention that I had also purchased a set of Series 65 Exam questions from Fourth Financial LLC. The 202 exam questions came on a CD.
Investment skill is often just luck in sheep's clothing.

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