Successful completion of the Series 65 exam qualifies the investment professional to serve as an investment advisor’s representative in certain states.
Topics include state and federal securities laws, rules and regulations for investment advisors, ethics and fiduciary obligations including client communications, compensation, client funds and conflicts of interest.
The exam questions have been updated to reflect changes in the 2018 tax code.
A Certified Retirement Planning Consultant is a person who has the status of a professional financial planner awarded by the College of Financial Planning.
An Investment Policy Statement (IPS) is a formal document drawn up by a portfolio manager or financial advisor and a client that sets out the general rules for the manager.