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Do I have to be sponsored by a registered investment advisor firm in order to take the Series 65 examination?

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No. Unlike an individual seeking to take the Series 7 examination, a sponsoring registered investment advisor firm is not required for an individual to open a Series 65 examination window or actually take the Series 65 examination. When completing the Form U10, a Series 65 test candidate should mark the line requesting a sponsoring firm as “not applicable”. However, if a registered representative of a broker-dealer wants to open a Series 65 exam window, it is the understanding of RIA Compliance Consultants that the registered representative must go through his or her broker-dealer’s Web CRD account by using Form U4.

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