{"id":6497,"date":"2025-10-23T06:48:48","date_gmt":"2025-10-23T12:48:48","guid":{"rendered":"https:\/\/www.kansascity.com\/careers-education\/?p=6497"},"modified":"2026-06-17T00:58:11","modified_gmt":"2026-06-17T06:58:11","slug":"series-66-exam","status":"publish","type":"post","link":"https:\/\/www.kansascity.com\/careers-education\/series-66-exam\/","title":{"rendered":"Series 66 Exam: What It Is &amp; Who Needs To Take It"},"content":{"rendered":" <p class=\"wp-block-paragraph\">The Series 66 isn\u2019t just another test; it\u2019s your path to dual registration as both a securities agent and investment adviser representative. One license, two career paths.<\/p> <p class=\"wp-block-paragraph\">And here\u2019s an interesting stat: <a href=\"https:\/\/www.deel.com\/blog\/employee-development-statistics\/\" target=\"_blank\" rel=\"noreferrer noopener\">70%<\/a> of workers say learning something new makes them feel more connected to their workplace. That\u2019s great if you love where you are\u2014but for some, passing the Series 66 is also a ticket out of where they are. Whether you\u2019re aiming for a promotion, a better firm, or a fresh start entirely, studying for this exam can get you there.<\/p> <p class=\"wp-block-paragraph\">In this guide, I\u2019ll break down what makes the Series 66 essential for future financial professionals and how it fits into your overall licensing journey (and maybe your escape plan).<\/p> <p class=\"custom_key wp-block-paragraph\"><strong>Key Takeaways<\/strong><\/p> <ul class=\"wp-block-list custom_underline\"> <li><strong>Dual Qualification:<\/strong> The Series 66 license qualifies you as an investment adviser representative and a securities agent.<\/li> <li><strong>Co-Requisite:<\/strong> You must pair the Series 66 with the Series 7 to become fully registered and legally provide investment advice.<\/li> <li><strong>Comprehensive Coverage:<\/strong> The exam tests candidates&#8217; knowledge of economic factors, investment vehicles, laws, and ethical practices.<\/li> <li><strong>Passing Score:<\/strong> You need a 73% to pass the Series 66 exam.<\/li> <li><strong>Career Catalyst:<\/strong> Passing the Series 66 builds credibility and opens doors to higher-level roles in the financial advising industry.<\/li> <\/ul> <h2 class=\"wp-block-heading\" id=\"h-who-should-take-the-series-66\"><strong>Who Should Take the Series 66?<\/strong><\/h2> <p class=\"wp-block-paragraph\">Most Series 66 candidates are aspiring financial professionals aiming to move beyond entry-level finance roles. The 66 is essential for those who want to sell securities, manage portfolios, or provide investment advice under proper registration.<\/p> <p class=\"wp-block-paragraph\">Passing the Series 66 shows you understand fiduciary responsibilities and can act in your clients\u2019 best interest, a key standard in today\u2019s advising industry.<\/p> <h2 class=\"wp-block-heading\" id=\"h-series-66-exam-format-and-content\"><strong>Series 66 Exam Format and Content<\/strong><\/h2> <p class=\"wp-block-paragraph\">The Series 66 exam has 110 multiple-choice questions (100 scored, 10 unscored) and lasts 150 minutes. It\u2019s designed to test how well you apply investment laws, ethics, and strategy to real client situations, not just memorize facts.<\/p> <p class=\"wp-block-paragraph\">Key topics include:<\/p> <ul class=\"wp-block-list\"> <li><strong>Economic Factors<\/strong> \u2013 Inflation, interest rates, GDP<\/li> <li><strong>Investment Vehicles<\/strong> \u2013 Mutual funds, ETFs, stocks, bonds<\/li> <li><strong>Client Strategies<\/strong> \u2013 Aligning advice with client goals<\/li> <li><strong>Laws &amp; Regulations<\/strong> \u2013 NASAA rules and state standards<\/li> <li><strong>Ethical Practices<\/strong> \u2013 Spotting and avoiding unethical behavior<\/li> <\/ul> <h2 class=\"wp-block-heading\" id=\"h-common-study-mistakes-and-what-to-do-instead\"><strong>Common Study Mistakes (and What to Do Instead)<\/strong><\/h2> <p class=\"wp-block-paragraph\">Many people slip up while studying. Here are a few common ones I see candidates make the most mistakes in to avoid (and what to do instead).<\/p> <p class=\"wp-block-paragraph\">\u274c <strong>Just skimming practice exams without reviewing your mistakes<\/strong><strong><br><\/strong>\u2192<strong>Do This Instead:<\/strong> Take mock exams <em>and<\/em> dig into every question you miss. Understanding the <em>why<\/em> behind each answer is what actually builds retention.<\/p> <p class=\"wp-block-paragraph\">\u274c <strong>Sticking to one study method<\/strong><strong><br><\/strong>\u2192 <strong>Mix It Up:<\/strong> Flashcards, outlines, practice questions, and timed quizzes using different formats help your brain lock in the info from multiple angles.<\/p> <p class=\"wp-block-paragraph\">\u274c <strong>Not Having a Clear Study Timeline<\/strong><strong><br><\/strong>\u2192 <strong>Plan Ahead:<\/strong> Going in without a structured study schedule makes it easy to fall behind. Create a roadmap like an 8-12-week plan to review weak spots, and leave time for full-length mock exams.<\/p> <p class=\"wp-block-paragraph\">\u274c <strong>Neglecting Key Content Areas Like Economic Factors and Investment Vehicles<\/strong><strong><br><\/strong>\u2192 <strong>Revisit Them Often:<\/strong> These topics show up across multiple question types; knowing them cold gives you an edge.<\/p> <p class=\"wp-block-paragraph\"><em>\ud83d\udca1 <\/em><strong><em>Pro tip:<\/em><\/strong><em> When you learn a rule, explain it as if you\u2019re talking to a client. If you can clearly explain it to someone out loud, you understand it deeply enough for the Series 66.<\/em><\/p> <figure class=\"wp-block-image aligncenter size-full\"><img loading=\"lazy\" decoding=\"async\" width=\"819\" height=\"1024\" src=\"https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/10\/Series-66-Exam-info.png\" alt=\"Series 66\" class=\"wp-image-6501\" srcset=\"https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/10\/Series-66-Exam-info.png 819w, https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/10\/Series-66-Exam-info-240x300.png 240w, https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/10\/Series-66-Exam-info-768x960.png 768w, https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/10\/Series-66-Exam-info-120x150.png 120w\" sizes=\"auto, (max-width: 819px) 100vw, 819px\" \/><\/figure> <h2 class=\"wp-block-heading\" id=\"h-do-you-need-the-series-7-for-the-series-66\"><strong>Do You Need the Series 7 for the Series 66?<\/strong><\/h2> <p class=\"wp-block-paragraph\">If you&#8217;re researching the Series 66, you\u2019ll definitely hear <a href=\"https:\/\/www.kansascity.com\/careers-education\/what-is-series-7-exam\/\">about the Series 7<\/a>, too, and for good reason.<\/p> <p class=\"wp-block-paragraph\">The Series 7 license will allow you to sell securities like bonds and mutual funds. The Series 66, on the other hand, qualifies you to give investment advice and act as an investment adviser representative.<\/p> <p class=\"wp-block-paragraph\">To fully serve clients in a financial advising role, you\u2019ll need both licenses; they work together as co-requisites. Think of it this way:<\/p> <ul class=\"wp-block-list\"> <li><strong>Series 7<\/strong>: Covers product sales<\/li> <li><strong>Series 66<\/strong>: Covers advisory knowledge and fiduciary standards<\/li> <\/ul> <p class=\"wp-block-paragraph\">Both the Series 7 and 66 form the foundation of a well-rounded, fully licensed financial advisor.<\/p> <h2 class=\"wp-block-heading\" id=\"h-after-the-series-66-exam-what-to-expect-nbsp\"><strong>After the Series 66 Exam: What to Expect <\/strong><\/h2> <p class=\"wp-block-paragraph\">Have you passed the Series 66 and have your Series 7? Your firm can register you as an Investment Adviser Representative by filing Form U4. Some states require extra paperwork or background checks, and CE may apply.<\/p> <p class=\"wp-block-paragraph\">Didn\u2019t pass? That\u2019s okay, it\u2019s a tough exam. You can retake the exam after the 30-day waiting period. After three attempts, the wait increases to 180 days, so prep with purpose.<\/p> <h2 class=\"wp-block-heading\" id=\"h-is-the-series-66-worth-it\"><strong>Is the Series 66 Worth It?<\/strong><\/h2> <p class=\"wp-block-paragraph\">Yes, if you want to give real advice, manage portfolios, or move up in finance, the Series 66 is an essential. <\/p> <p class=\"wp-block-paragraph\">It opens the door to dual registration, more responsibility, and bigger opportunities. The material can be dense, but the payoff is clear: credibility, flexibility, and long-term career growth.<\/p> <h2 class=\"wp-block-heading\" id=\"h-final-verdict\"><strong>Final Verdict<\/strong><\/h2> <p class=\"wp-block-paragraph\">The Series 66 isn\u2019t just another finance test; it\u2019s proof you\u2019re ready to take on real responsibility in this industry. It shows you get the rules, the ethics, and how to actually help people with their money. It\u2019s a solid step toward earning trust and building a real future in finance. <\/p> <p class=\"wp-block-paragraph\">If you\u2019re heading down this path, prep smart and stay focused. The payoff? Confidence, credibility, and a big step forward in your financial career.<\/p> <h2 class=\"wp-block-heading\" id=\"h-faqs\"><strong>FAQs<\/strong><\/h2> <div class=\"schema-faq wp-block-yoast-faq-block\"><div class=\"schema-faq-section\" id=\"faq-question-1761116541862\"><strong class=\"schema-faq-question\"><strong>What is the Series 66 exam?<\/strong><\/strong> <p class=\"schema-faq-answer\">The Series 66 license enables individuals to register as both a securities agent and an investment adviser representative. Earning this credential shows that you grasp the ethical responsibilities and legal framework required for providing professional investment advice.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1761116549977\"><strong class=\"schema-faq-question\"><strong>Who administers the Series 66?<\/strong><\/strong> <p class=\"schema-faq-answer\">The Series 66 is created by the North American Securities Administrators Association (<a href=\"https:\/\/www.nasaa.org\/\">NASAA<\/a>) and administered by <a href=\"https:\/\/www.finra.org\/\">FINRA<\/a>. It\u2019s offered at approved testing centers and online for candidates with accommodations.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1761116556013\"><strong class=\"schema-faq-question\"><strong>What\u2019s the passing score for the Series 66?<\/strong><\/strong> <p class=\"schema-faq-answer\">A score of 73% or higher is required to pass the Series 66. That means answering at least 73 of the 100 scored questions correctly.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1761116561255\"><strong class=\"schema-faq-question\"><strong>How do you prepare for the Series 66?<\/strong><\/strong> <p class=\"schema-faq-answer\">Using a mix of study materials, practice exams, outlines, and practice questions helps most. Focus on investment vehicle characteristics, economic trends, and ethical scenarios to build a strong foundation.<\/p> <\/div> <div class=\"schema-faq-section\" id=\"faq-question-1761116571111\"><strong class=\"schema-faq-question\"><strong>Do I need the Series 7 before taking the Series 66?<\/strong><\/strong> <p class=\"schema-faq-answer\">You don\u2019t need to take the Series 7 first, but you must pass both the Series 7 and Series 66 to become fully licensed. These co-requisite exams allow you to sell securities and act as an investment adviser representative.<\/p> <\/div> <\/div> ","protected":false},"excerpt":{"rendered":"<p>The Series 66 isn\u2019t just another test; it\u2019s your path to dual registration as both a securities agent and investment adviser representative. One license, two career paths. And here\u2019s an interesting stat: 70% of workers say learning something new makes them feel more connected to their workplace. That\u2019s great if you love where you are\u2014but [&hellip;]<\/p> ","protected":false},"author":11,"featured_media":6500,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[3,244],"tags":[],"class_list":["post-6497","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-careers-education","category-finance"],"acf":{"external_author":[129],"external_editor":"","select_template":"default","not_show_feature_image":false,"hide_toc":false},"featured_image_src":"https:\/\/www.kansascity.com\/careers-education\/wp-content\/uploads\/sites\/7\/2025\/10\/Series-66-Exam-feature-img-768x401.png","author_info":{"display_name":"","author_link":"https:\/\/www.kansascity.com\/careers-education\/author\/"},"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.7 (Yoast SEO v27.7) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>Series 66 Exam: What It Is &amp; 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It\u2019s offered at approved testing centers and online for candidates with accommodations.","inLanguage":"en-US"},"inLanguage":"en-US"},{"@type":"Question","@id":"https:\/\/www.kansascity.com\/careers-education\/series-66-exam\/#faq-question-1761116556013","position":3,"url":"https:\/\/www.kansascity.com\/careers-education\/series-66-exam\/#faq-question-1761116556013","name":"What\u2019s the passing score for the Series 66?","answerCount":1,"acceptedAnswer":{"@type":"Answer","text":"A score of 73% or higher is required to pass the Series 66. 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