Securities Exam Preparation, Inc., established in 1972

Publishing and Professional Information Services

We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.

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Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 65 Exam | Uniform Registered Investment Advisor Examination

The Series 65 test is required by most states for individuals who wish to act as investment Advisors. The Series 65 exam is waived by some states if the applicant has the CFP (Certified Financial Planner), the ChFC (Chartered Financial Consultant), APFS (Accredited Personal Financial Specialist), CFA (Chartered Financial Analyst), the CIC (Chartered Investment Counselor), or other designations or items as ruled by the (state) administrator.

No prerequisite    $155 test fee    (Form U-10)      3 hour time limit

Passing score is 72%

 Test Topics in the Study Manual

Approximate Test Questions

Economics & Analysis 20
Investment Vehicles 30
Investment Recom mendations/Strategies 40
Ethics/Legal Guidelines 40
Total 130 questions

Series 65 Exam Study Text

Series 63 Book


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The Series 65 600+ page program comes in two 8 1/2 x 11" perfect bound books (the study text and the final exam book) --- and is specifically designed for the self-study student.

  • The Study Text contains "Micro-Sections" and great page formatting that allows fast reading and emphasizes key points that you’ll probably see on the exam. Strategic quizzes are frequently spaced as you go along.
  • The Final Exam Book contains 10 Final Exams that will make sure there are no surprises when you sit for the real exam!
Key point: All questions have detailed expanded answers. Over 1,300 section questions and final exam questions in total -- and they are "Exam-Tough".
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Series 65 CD

Series 65
Windows CD



Windows Only!

Databank tests include:

  • 20 quizzes - 5 for each of the major topics covered on the Series 65 exam:
    • Economics & Analysis
    • Investment Vehicles
    • Investment Recommendations
    • Legal Guidelines
  • 10 Mastery Exams, which cover the first two topics and the last two topics.
  • 10 Finals, covering material from all major topics, and weighted in the same manner as the material in the actual exam

No two tests in Databank are the same - the depth of the question pool ensures that each question the student sees is unique. Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

Available on CD-ROM
System requirements:

  • 3 MB of hard disk space
  • Windows XP, Vista, 7 or 8
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Series 65 Exam Study Text and CD

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Study Text
and CD


Windows Only!

Study Text and Windows CD



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Smart 65 on the Web

Smart 65
on the web


Your order is processed manually during regular business hours and download instructions will be sent to your email address.

No Books! No Shipping. 

This program is divided into the same "Chapters" as our Series 65 text and includes an online textbook that leads you through every topic, testing you on each major point. The program dynamically modifies your learning sequence, based on your strengths and weaknesses. If you are having difficulty with a major concept, you're presented with the information in a variety of reinforcing methods until you master the topic. If you're not having problems you move rapidly through the program!

The learning material is arranged within the 4 major areas tested and covers over 300 concepts on the Series 65 exam:

  • Economics and Analysis
  • Investment Vehicles
  • Investment Recommendations
  • Legal Guidelines

To expose the candidate to the extraordinary depth of possible questions on this exam, tests are drawn from a pool of over 4200 distinct questions.

Chapter quizzes follow each section and final exams conclude the study. Each concept includes: practice questions with detailed explanations that not only explain which answer is correct, but also explain why the other answers are wrong for the more complex concepts a Quick 65 summary - an easy-to-read condensation of the most important points tested

System requirements:

  • Browser on Windows or Mac OS and use:
    • Internet Explorer (version 6 or better, only on Windows) or
    • Google Chrome or
    • Safari or
    • Firefox (version 3.6 or better)

The content for Smart 65 is constantly updated. Changes are added to the material as they become available.

The license to use Smart 65 expires one year after purchase date. In addition, if an account does not show any activity for 60 days, your account will be made inactive. Should this happen, the account will be reactivated upon request any time during the one year license. Requests for reactivation should be sent to Please reference your order number, date of order, full name and email address when contacting support.

After your order is processed you’ll be contacted at your email address for downloading and authorization instructions.

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Smart 65 on the Web + Book

In addition to the total program on the web -- you can add the hard copy Series 65 exam study books.

This is a great combination!


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Be sure to check out our other products:

Registered Representative Level Registered Principal Level
Series 3 License Series 4 License
Series 7 License Series 9 and 10 License
Series 11 License Series 24 License
Series 17 License Series 26 License
Series 31 License Series 27 License
Series 34 License Series 30 License
Series 55 License Series 51 License
Series 63 License Series 53 License
Series 66 License  
Series 82 License  
Series 56  
Series 99