Series 65 Study Guide
Complete Review for the Investment Adviser Law Exam with Expert Strategies, Practice Questions, and Proven Tips to Pass the Test
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Series 65 Study Guide
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Narrated by:
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Tom Brooks
About this listen
In this guide, you will find detailed explanations of the core topics tested on the Series 65 exam, including investment vehicles, securities laws, risk management, and client investment strategies. With clear and concise breakdowns of complex financial topics, this resource offers both beginner and advanced learners the tools necessary to fully grasp the material. You’ll explore subjects such as economic factors, portfolio construction, asset allocation, and performance measurement—key areas that directly impact the financial futures of clients.
Beyond theory, this guide emphasizes practical application, helping you understand the real-world implications of investment advising. Learn how to manage client expectations, assess risk tolerance, and develop personalized investment strategies tailored to meet individual goals. Discover how tax laws, estate planning, and tax-efficient investment strategies can optimize returns while minimizing tax liabilities. These crucial components will set you apart as an informed, responsible, and effective investment adviser.
With numerous practice questions, detailed answers, and step-by-step explanations, this guide ensures that you are well-prepared for the exam. Each question is carefully crafted to mimic the style and content of the actual Series 65 exam, giving you an accurate sense of what to expect on test day. By reinforcing your learning through continuous review, you will build both confidence and competence.
Whether you’re a newcomer to the world of investment advising or an experienced professional looking to expand your knowledge, this guide offers the expertise and practical insights you need to pass the Series 65 exam and excel in your career. The financial industry is ever-changing, and by mastering these fundamental concepts, you will be prepared to navigate its challenges and make a lasting impact in the world of investment advising.
©2025 Johnny P. Bradley (P)2025 Johnny P. BradleyListeners also enjoyed...
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From mastering capital markets to understanding investment products and trading practices, this guide equips you with the essential knowledge needed to succeed in the securities industry. Whether you're just starting your career or aiming to advance within the field, each chapter provides a thorough examination of key concepts, ensuring you grasp the fundamentals with clarity and confidence. Discover how to navigate regulatory frameworks, manage risks effectively, and interpret financial statements with precision.
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Overall4.5 out of 5 stars 28
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Performance4.5 out of 5 stars 27
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You are no doubt a busy professional with a lot of things going on! It can be challenging to find the time to study in preparation for the SIE exam. However, the truth is that the SIE test is a challenging test. It is normal to have some anxiety about taking this test. Thorough preparation cannot be overlooked. That is why the author Evan Benitez, a securities professional, developed the SIE EXAM PREP Study Guide! This edition is a practice questions edition. It covers all essential concepts found on the exam from all categories of the exam. It contains hundreds of practice questions.
-
5 out of 5 stars
-
Highly recommended for future test-takers!
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What listeners say about Series 65 Study Guide
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Frankie Pratt
- 02-03-25
Increased My Confidence with Every Chapter
I started out feeling unsure about my ability to pass, but the way the material was structured kept me motivated. The test-taking strategies and practice questions gave me the confidence I needed to go in and pass on the first attempt.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Jurielle Alcott
- 04-08-25
A Refreshing Approach to Finance Concepts
I usually find investment law material dry, but this book made it engaging. It broke complex ideas into relatable examples, which made reviewing at night after work a lot more tolerable.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Jacob McMinn
- 04-08-25
Delivered Exactly What It Promised
Nothing felt padded or thrown in just to fill pages. Every section added real value to my preparation. It made study sessions productive, and I could track my progress with confidence.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Candy Ross
- 02-03-25
A Solid Foundation for Success
The material was presented in a way that helped me build my knowledge step by step. I appreciated how it connected concepts logically, making it easier to retain information and apply it during the exam.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Christina Davis
- 04-07-25
From Intimidated to Prepared
Starting out, I was nervous about how broad the topics could be. But the way this book presents concepts made me feel like I had control of my study plan. It never wasted time—each section felt essential.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Derrick Hanson
- 04-10-25
Clear, Logical, and Highly Effective
I appreciate how the content builds logically, reinforcing earlier lessons while introducing more advanced topics. It helped me retain so much more than I expected, and I didn’t feel lost once.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Dustin Cesar
- 04-07-25
A Study Companion That Checked Every Box
Clear, well-paced, and thorough this had everything I was hoping for. The practice questions weren’t just plentiful, they were purposeful. It’s as if the author knew what I’d struggle with and helped me anticipate it. From layout to practice sets, everything clicked into place. I didn’t have to second guess whether I was covering the right material, the structure made it so easy to follow and stay motivated.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Rebecca Salazar
- 04-07-25
Smarter Studying, Better Results
I’ve tried dense financial texts before and gave up halfway. This one broke the content down in digestible, focused chunks, and made concepts like fiduciary duty and ethics click for me for the first time. Total game changer.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Patrice Cox
- 03-05-25
Took My Confidence to the Next Level
I was nervous about diving into the material, but everything was laid out so clearly that studying became second nature. The legal concepts and investment strategies were explained in a way that made them stick. I walked into the exam feeling completely prepared and passed without hesitation.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story5 out of 5 stars
- Shaven Coghill
- 04-11-25
Focused Learning Without the Fluff
Not once did I feel lost in unnecessary content. The information is streamlined in a way that respects your time and maximizes your focus. No fluff, no sidetracks—just smart organization and targeted content. It respects your time and gives you a direct path toward mastering the material. My favorite part was how easy it was to review quickly before the exam.
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