Series 65 Exam Tutor 
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Get private Tutoring for the Series 65 Exam, the Series 7 Exam, the Series 6 Exam, the Series 66 Exam and the Series 63 Exam




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Sample Series 65 Questions

Which of the following would be required to register as an investment adviser in State A

A. A Series 65 Tutor with a tutoring office in State A
B. ABC advisers which has an office in State A but has fewer than five retail customers from State A
C. An investment adviser representative with an office in State A who has 8 retail investors in State A
D. A company with an office in state A, with 15 customers in State A and who regularly provides advice on fixed annuities  

Which of the following would least likely be associated with an investor’s ability to take risk?

A. Time horizon
B. Net worth and expected Income
C. Resources relative to financial goals
D. An investors comfort level with losing money

Which of the following is normally determined by evaluating objective factors?
I.  Ability to assume risk
II. Willingness to assume risk

A. I only
B. I and II
C. Not enough information to determine
D. None of the above

Individual investors can employ various strategies to lighten tax burdens. Which of the following would least likely be used by an individual to reduce taxes?

A. Tax deferral
B. Accelerated depreciation
C. Gifting
D. Investing in the municipal bonds of a state in which you are not a resident


One of many factors that an investment advisor must consider when forming an investment policy statement is an individual investor’s unique circumstances. Which of the following would most closely be associated with circumstances that are unique to an individual?

A. Time Horizon 
B. Risk tolerance
C. IPS restriction regarding tobacco stocks
D. Taxes

Joe Miller, portfolio manager with Diversified Partners Inc. has a meeting with a potential client, David Struthers. David is the 15% tax bracket, has a modest net worth, has about 20,000 to invest with Barach and is somewhat risk averse. David indicates he has a strong preference for mutual funds as investment vehicles and wants both equity and fixed income exposure. Which of the following would represent the most appropriate recommendation?

A. A hedge fund containing both equity and fixed income exposure.
B. An equity income mutual fund
C. An ETF containing both fixed income securities as well as equities.
D. A growth and income mutual fund