Series 65 Exam Prep Audio Lessons - Series 65 Prep Audio Lessons for the FINRA Series 65 Exam

What is the Series 65 Exam?

The Series 65 is another path to becoming an Investment Advisor Representative (IAR)

Sometimes called the IAR in a box

Unlike the Series 66 Exam the Series 65 exam does not have the Series 7 Requirement.

The Series 65 unlike broker-dealer exams (think the Series 7 Exam) the Series 65 Exam requires no company sponsor.

When taking the Series 65 to join an RIA firm as a IAR, candidates must complete the exam within 180 minutes. A passing score is 72%, which translates to correctly answering 94 of the 130 scored questions. The Financial Industry Regulatory Authority, which administers the exam, does not release Series 65 pass rates. But this is a TOUGH exam, many people do not pass on the first try.

The test covers financial industry regulation, securities law, ethics, investments and economics. All these topics factor into a financial advisor’s day-to-day work. Most candidates devote considerable time to studying for the Series 65.

Different States have different requirements in become an Investment Advisor Representative (IAR) so check your states department of securities licensing to find out its requirements.

Series 65 Exam Prep: Audio Lessons for the FINRA Series 65 Exam
Table of Contents

Lesson 1 Macro Economic Analysis pt 1 34 36
Lesson 2 Macro Economic Analysis pt 2 32 18
Lesson 3 Yield Curve Balance of Payments and Currency Risk 31 37
Lesson 4 Financial Statements Balance Sheet pt 1 29 46
Lesson 5 Financial Statements Balance Sheet pt 2 25 33
Lesson 6 Financial Statements Balance Sheet pt 3 36 52
Lesson 7 Financial Statements Income Statement pt 1 33 57
Lesson 8 Financial Statements Income Statement pt 2 32 55
Lesson 9 Financial Statements Income Statement pt 3 28 42
Lesson 10 Financial Statements Cash Flow Statement pt 1 17 7
Lesson 11 Financial Statements Cash Flow Statement pt 2 23 39
Lesson 12 Discounted Cash Flow Model 13 9
Lesson 13 Ratio Analysis 14 48
Lesson 14 Technical Analysis 18 53
Lesson 15 Common Stock 38 5
Lesson 16 Preferred Stock 26 5
Lesson 17 Special Securities 17 36
Lesson 18 Fixed Income pt 1 25 22
Lesson 19 Fixed Income pt 2 41 16
Lesson 20 Fixed Income pt 3 40 35
Lesson 21 Money Market 20 2
Lesson 22 CDS ARS SP 27 25
Lesson 23 Municipal Debt 37 2
Lesson 24 Mutual Funds pt 1 28 59
Lesson 25 Mutual Funds pt 2 22 18
Lesson 26 Mutual Funds pt 3 31 37
Lesson 27 ETF ETN and Corp Actions 21 34
Lesson 28 Unit Investment Trusts 31 17
Lesson 29 Annuities 29 37
Lesson 30 Life Ins Viatical Settlements 21 39
Lesson 31 Partnerships 31 54
Lesson 32 REIT’s 31 37
Lesson 33 Present Value, Net PV, IRR, Commodities, Precious Metals 25 46
Lesson 34 Options pt. 1 22 11
Lesson 35 Options pt. 2 21 29
Lesson 36 Options pt. 3 18 22
Lesson 37 Options pt. 4 20 33
Lesson 38 Options pt. 5 30 10
Lesson 39 Options pt. 6 22 21
Lesson 40 Accounts and Anti Money Laundering 29 33
Lesson 41 Accounts and Anti Money Laundering pt 2 14 32
Lesson 42 Account Registration and Anti Money Laundry Rules 16 38
Lesson 43 Client Types and Appropriate Investments 37 52
Lesson 44 Know Your Customer and Portfolio Strategies 30 1
Lesson 45 Investment Taxation 35 55
Lesson 46 IRA Accounts 31 39
Lesson 47 Keogh Plans and Defined Contribution Plans 26 4
Lesson 48 Defined Pension Plans and Contribution Plans 22 10
Lesson 49 Inherited IRA’s, Non Qualified Plans, ERISA, Investment Policy Statement 20 28
Lesson 50 UGTMA, Trusts and Wills, Qualified Domestic Relations order (QDROs) 22 39
Lesson 51 Trading Markets Pt 1 Markets and Order Tickets 25 40
Lesson 52 Trading Markets pt 2 Order Types, Specalists and Dealers 27 23
Lesson 53 Trading Markets pt 3 Rules 34 12
Lesson 54 Trading Markets pt 4 Options 12 35
Lesson 55 Securities act of 1933 and 144 stock 34 2
Lesson 56 Securities and Exchange Act of 1934 and Insider Trading 38 19
Lesson 57 Investment Company Act of 1940 11 22
Lesson 58 Sarbanes Oxley and Blue Sky Laws 22 28
Lesson 59 Investment Advisors Act of 1940 Pt 1 27 25
Lesson 60 Investment Advisors Act of 1940 Pt 2 24 43
Lesson 61 Investment Advisors Act of 1940 Pt 3 28 30

6/1/2023 from Lawrence L. I really appreciate your work Franz. I discovered you while studying for the 65 by searching “series 65” on Apple Podcasts. I got enough value from your free episodes to feel good purchasing the course. I really got a lot of value from your real world applications from your own experiences to the concepts and rules. I failed the first time I took the 65 by a few points but I just passed on the second time. Thank you for making the course and making it affordable. Lawrence L (c) 859-967-****

10/19/2022 Franz, we spoke about this time last year and I just wanted to reach out and let you know I passed the Series 65 exam yesterday. After listening to your audio in Gumroad and taking practice exams I thought I was good to go and should get at least 80%. I wish they they gave the score because I think I did about 90% or maybe better. Anyway, your content was very good and I appreciate the work you did on it!! Now to figure out my next steps. Very Grateful, Mark D

10/20/22 I have been listening to your podcasts with an intention of getting my Series 65. That company got bought out and I had to change plans. I got hired by another company (100 year old -Yellow color). They required 4 Licenses; SIE, Series 7, Series 66 and 215. I was provided Training materials from STC. I have taken and passed the first 3 exams. I have been playing your podcast when I drive alone and when I go to the gym. Your podcast helped tremendously! Thank You! Scott S.

6/1/2023 Hello Mr Franz: I’m writing to thank you for your podcast which was absolutely and positively instrumental in my passing the Series 65 on the first attempt! Thanks again, Julie H.

6/4/2023 Franz, Thank you for the updated Series 65 Exam Prep Audio Lessons for the FINRA Series 65 Exam. I loved the audio lessons and listened to them while exercising, commuting, doing housework, and traveling. I even listened while hiking in one of my favorite places - Joshua Tree National Park. The audio allowed me to immerse myself in the material with frequency, in addition to more concentrated study sessions. I'm excited to share that I passed the exam on my first try! Thank you so much for creating such a helpful resource. Best regards, Nicole T.