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Reviewing & Updating Form U4 & Form ADV Part 2B

June 27, 2022

Join Senior Vice President Jarrod James as he provides advice on reviewing and updating Form U4 and Form ADV Part 2B, along with general best practices for reviewing investment adviser documents.

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When does my investment adviser firm need to provide clients with its updated Form ADV Part 2A brochure?

November 01, 2019

The updated Form ADV Part 2A brochure will need to be provided going forward to all new clients and existing investment advisory clients requesting a current version of the brochure.  However, an investment adviser firm is not required to send a revised Form ADV Part 2A brochure to all existing investment advisory clients every time […]

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What happens if I fail the Series 65 examination?

November 02, 2018

The Series 65 examination may be retaken after a minimum of 30 days after the first test date. If the Series 65 examination is failed again, the individual must wait another 30 days before taking the Series 65 test. After failing the Series 65 exam a third time, an individual must wait up to 180 […]

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If I pass the Series 65 examination, can I start acting as an investment advisor?

November 02, 2018

No. The Series 65 is a prerequisite for an individual that desires to register as an investment advisor representative. After you successfully pass the Series 65 test, you will then register as an investment advisor representative with the applicable state securities regulators. You will need to contact your registered investment advisor firm and ask the […]

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What is a passing score of the Series 65 examination?

November 02, 2018

The passing score of the Series 65 test is 72 percent, which is 94 correct responses for the 130 test questions comprising the exam. The 10 pretest questions do not count towards your final score. The Series 65 examination must be finished within 180 minutes.

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What are common mistakes when taking the Series 65 examination?

November 02, 2018

Statistically, your first instinct for a multiple choice answer is generally the correct one. By reviewing every answer at the end of the Series 65 test, you have a greater chance of changing a correct answer to an incorrect answer. We advise that you only review the answers to the questions that you truly do […]

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