Certifications
Series 65 Study Guide
Pass the Uniform Investment Adviser Law Exam and register as an Investment Adviser Representative.
4
Domains
6–8 Wks
Study Timeline
72%
Passing Score
Who This Book Helps
- ✓Independent advisors who want to provide fee-based investment advice
- ✓Financial coaches seeking legal compliance for advice services
- ✓Entrepreneurs building fee-only advisory businesses
- ✓Anyone who wants IAR registration without firm sponsorship
What You'll Learn
- →Investment vehicles: equities, bonds, mutual funds, ETFs, alternatives
- →Portfolio theory, suitability, and risk management strategies
- →Investment Advisers Act of 1940 and fiduciary responsibilities
- →Uniform Securities Act, state registration, and exemptions
Why This Book Is Different
Regulation and ethics make up 28% of the Series 65 — and most study materials make this section feel like reading legal code. Maxwell Pepper's approach breaks regulations into logical frameworks and memorable stories so the rules actually make sense instead of just being memorized.