Why can’t I just sit for the Series 7 and Series 66 exams instead of the Series 65 exam?

  The reason you sit for the Series 65 exam is to charge fees for your services; if you sit for the 7 and 66 exams your intent is to charge commissions of the securities your clients buy and sell through you (and your firm) in addition (or in lieu of) fees for your services. […]

Posted in Consulting, Exams, Professional Designations, Series 65, Series 66, Series 7 on August 19th, 2008
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If I failed the Series 66 can I immediately sit for the Series 65 exam?

  You can submit a U-10 form for the Series 65 exam and sit for it as soon as you’re application is processed and your 120 day window is established. The waiting period applies only to the specific exam you did not pass.

Posted in Exams, Series 65, Series 66 on August 3rd, 2008
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