Register for the Series 65 through FINRAâs website. If you have a sponsor, your firm files Form U4. If youâre registering independently, submit Form U10 with the $187 exam fee. Once approved, you have 120 days to schedule and take your exam at a Prometric testing center.
Two Registration Pathways
There are two ways to register for the Series 65 exam, depending on whether you have employer sponsorship:
Form U4: Firm-Sponsored
Your employer handles registration through FINRAâs CRD system. The firm pays the exam fee (usually reimbursed by payroll deduction if you fail or leave). Best for: candidates already employed by an RIA or broker-dealer.
Form U10: Self-Registration
You register independently through FINRAâs FinPro portal. You pay the $187 fee directly. Best for: career changers, future Investment Adviser owners, CPAs, attorneys, and anyone not currently sponsored.
Whether you register via Form U4 or Form U10, you take the exact same exam at the same Prometric centers. The registration method doesnât affect your test experience or score requirements. For more on self-registration, see our guide on taking the Series 65 without a sponsor.
Form U10: Step-by-Step Self-Registration
If youâre registering without a sponsor, follow these steps:
Create a FinPro Account
Go to FINRA.org/registration-exams-ce and create a FinPro (Financial Professional Gateway) account. Youâll need:
- Full legal name (must match your government ID exactly)
- Social Security Number
- Valid email address
- Current mailing address
Account creation takes about 10 minutes and is free.
Access the Form U10
Once logged in, navigate to the exam enrollment section. Select the Series 65 exam and the system will guide you through Form U10. The form asks for:
- Personal identification information
- Employment history
- Disclosure questions (criminal, regulatory, financial)
- Exam selection (Series 65)
Complete Disclosure Questions
Form U10 includes disclosure questions about your background. Answer honestly. Minor issues rarely disqualify candidates, but false statements can result in permanent bars from the securities industry.
Disclosures cover:
- Criminal history
- Regulatory actions
- Civil litigation
- Bankruptcies and financial judgments
Pay the $187 Exam Fee
Submit payment via credit or debit card. The fee is non-refundable once processed. Keep your confirmation number for your records.
This payment starts your registration process but not your 120-day window. That begins when FINRA approves your application.
Wait for FINRA Approval
FINRA reviews your Form U10 application. For most candidates without disclosure issues, approval takes 2-3 business days. Youâll receive a confirmation email with:
- Your enrollment window dates (120 days)
- Instructions for scheduling at Prometric
- Your candidate ID number
Schedule at Prometric
Visit Prometric.com to choose your testing center and date. Available appointments vary by location. Schedule early if you have a specific date in mind, especially near month-end when testing centers are busier.
Donât register until youâre ready to commit to studying. Once approved, your 120-day window starts. Most candidates need 4-8 weeks of focused preparation. Register when you can realistically test within 60-90 days.
Form U4: Firm-Sponsored Registration
If your employer is sponsoring your exam, the process is different:
Notify Your Compliance Department
Tell your firmâs compliance or HR department that you need to take the Series 65. They will initiate the registration process through FINRAâs Web CRD system.
Complete Your Portion of Form U4
Your firm creates the initial Form U4 filing, but youâll need to provide personal information and answer disclosure questions. Many firms use an online portal for this step.
Background Check Processing
Firm-sponsored registrations often include fingerprint-based background checks. Your firm will coordinate this, typically through a service like IdentoGO. Processing time varies from a few days to several weeks.
Firm Files Form U4
Once your background check clears, your firm files the complete Form U4 through CRD. They pay the $187 exam fee (some firms deduct this from your paycheck).
Receive Your Enrollment Window
After FINRA processes the Form U4, youâll receive confirmation of your 120-day enrollment window. Your firmâs compliance department will typically notify you when youâre cleared to schedule.
Schedule at Prometric
Schedule your exam at Prometric.com. Some firms have policies about when you must test. Check with compliance before scheduling.
120 Days to Prepare
Your enrollment window starts when FINRA approves your registration. CertFuel's adaptive flashcards use spaced repetition to ensure you retain what you study, so you're ready when exam day arrives.
Access Free BetaPrometric Scheduling Details
Once you have your enrollment window, scheduling at Prometric is straightforward:
| Detail | What to Know |
|---|---|
| Website | Prometric.com/test-takers/search/finra |
| Test Centers | Hundreds of locations nationwide (find nearest on site) |
| Scheduling Window | Can schedule same-day if seats available |
| Reschedule Policy | Free if 2+ business days before; fee if less |
| Cancel Policy | Same as reschedule (forfeit exam if no-show) |
| Online Proctoring | Only available for candidates with approved testing accommodations |
Tips for Scheduling
Book Early for Weekends
Saturday appointments fill quickly. If you prefer weekend testing, schedule 2-3 weeks ahead.
Check Multiple Locations
Nearby centers may have different availability. Willing to drive 30 minutes further? You might get your preferred date.
Avoid Month-End
Testing centers are busier at month-end when candidates rush to meet deadlines. Mid-month often has better availability.
Morning vs. Afternoon
Most candidates prefer morning appointments when theyâre fresh. Afternoon slots are often easier to book.
Registration Timeline
Hereâs what to expect from start to finish:
| Step | Form U10 (Self) | Form U4 (Sponsored) |
|---|---|---|
| Create account / notify firm | Same day | Same day |
| Complete form | 15-30 minutes | 15-60 minutes |
| Background check | None required | 1-3 weeks |
| FINRA processing | 2-3 business days | 1-5 business days |
| Enrollment window | 120 days | 120 days |
| Total to schedule | 3-5 days | 1-4 weeks |
Your enrollment window is firm. If you donât take the exam within 120 days, your registration expires. Youâll need to re-register and pay the $187 fee again. Plan your study schedule before registering.
Common Registration Issues
Name Mismatch
Your name on the registration must exactly match your government ID. If your ID says âRobertâ but you registered as âBob,â you may be turned away at the testing center. Use your full legal name.
Expired ID
Check your ID expiration date before exam day. Prometric wonât accept expired identification. If your ID expires soon, consider renewing it before you test.
Disclosure Questions
Donât panic if you have something to disclose. Minor issues from years ago rarely prevent registration. However, lying on disclosure questions is a serious offense that can permanently bar you from the industry.
Payment Issues
The $187 fee must clear before FINRA processes your application. If your payment is declined, resubmit with a different card. Registration wonât proceed until payment is confirmed.
Email Confirmation Delays
Check your spam folder if you donât receive confirmation within a few days. You can also log into FinPro to check your application status directly.
What Comes After Registration
Registration is complete. Now what?
Begin Focused Study
With your 120-day window active, create a study schedule. Most candidates need 50-100 hours of preparation spread over 4-8 weeks. Use effective study methods like spaced repetition flashcards to maximize retention. Donât wait until the last month to start.
Schedule Your Exam Date
Book your Prometric appointment as soon as you have a target date. This creates accountability and prevents procrastination. You can reschedule if needed.
Gather Required ID
Before exam day, ensure you have two forms of identification (one government-issued with photo, one with signature). Both must be current and match your registration name.
Plan Exam Day Logistics
Know your testing center location, parking situation, and check-in time (arrive 30 minutes early). Do a practice drive if the location is unfamiliar. See our exam day guide for what to expect.
Self-Registration (Form U10):
- Create FinPro account at FINRA.org
- Complete Form U10 online
- Pay $187 exam fee
- Wait 2-3 days for approval
- Schedule at Prometric within 120 days
Firm-Sponsored (Form U4):
- Notify your compliance department
- Complete your portion of Form U4
- Complete background check if required
- Wait for firm to file and FINRA to process
- Schedule at Prometric within 120 days
Key Details:
- Exam fee: $187 (same for both pathways)
- Enrollment window: 120 days from approval
- Testing: Prometric centers nationwide
- Reschedule: Free with 2+ business days notice