The Series 65, also known as the Uniform Investment Adviser Law Examination, is a test and license required of most financial professionals. If you’re interested in becoming a financial professional, ...

For many Series 65 exam takers, the ultimate goal is to become a financial advisor. Not only is helping others make the most of their budget, investments, and retirement funds rewarding, but it’s also ...

Did you know that only a mere 36% of Americans have a written financial plan? Let’s face it, a lot of people need help planning their finances and building their wealth. You can help them do that as ...

There's good news and bad news for planners seeking state registration as advisors with the North American Securities Administrators Association. Processing Content The good: The NASAA is reducing the ...

There are many things that a person who plans to enter the industry as an investment professional must consider. They must take certain qualification examinations and, more importantly, they must pass ...

We might earn a commission if you make a purchase through one of the links. The McClatchy Commerce Content team, which is independent from our newsroom, oversees this content. This article has ...

What Is the Series 65? The Series 65 is a financial industry exam and licensing requirement designed for individuals who wish to become registered investment advisors in the United States. This ...

We might earn a commission if you make a purchase through one of the links. The McClatchy Commerce Content team, which is independent from our newsroom, oversees this content. This article has ...

While it is pretty likely that anyone reading this is already familiar with the Wells process, I am going to start with a short history lesson. Way back in 1972, the SEC created an Advisory Committee ...

Looking to break into the financial services industry? You may have new opportunities thanks to the new Securities Industry Essentials (SIE) exam. The Financial Industry Regulatory Authority announced ...