Series 65 Exam Contents
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Accelerate your exam preparation with our study guide. Each exam subject below shows a brief lesson with condensed study notes, examples, term definitions, and practice problems.
III. Client Investment Recommendations and Strategies
- 1. Financial Goals and Objectives
- Login to track1.1 Retail Investors
- Login to track1.2 High Net Worth Individuals and Families
- Login to track1.3 Institutional Clients
- 2. Current and Future Financial Situation
- Login to track2.1 Cash Flow
- Login to track2.2 Balance Sheet
- Login to track2.3 Existing Investments
- Login to track2.4 Tax Situation
- Login to track2.5 Social Security and Pensions
- Login to track3. Risk Tolerance
- 4. Nonfinancial Investment Considerations
- Login to track4.1 Values-Based Investing
- Login to track4.2 Environmental, Social, Governance (ESG)
- Login to track4.3 Religious Criteria
- Login to track4.4 Experience
- Login to track4.5 Life Events
- Login to track4.6 Life Stage
- Login to track4.7 Behavioral Finance
- Login to track5. Client Identification