Series 65 Study Guide

Complete Review for the Investment Adviser Law Exam with Expert Strategies, Practice Questions, and Proven Tips to Pass the Test

By: Johnny P. Bradley

Narrated by: Tom Brooks

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. Bradley

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.

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.

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.

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.

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.