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Series 66


Series 66 – (Known as the Uniform Combined State Law Exam).   The Series 66, along with successful completion of the Series 7, qualifies an investment professional to register as a securities agent and investment advisor.

  • Economic Factors and Business Information

  • Investment Vehicle Characteristics

  • Client Investment Recommendations and Strategies.

  • Laws, Regulations, and Guidelines, including prohibited unethical business practices.

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