Skip to content

STEPS TO BECOME AN INVESTMENT ADVISER REPRESENTATIVE WITH HBW ADVISORY SERVICES LLC.

STEP 1 - PRE-REGISTRATION

The Pre-Registration form is used to complete a background/credit check to make sure we can accept you as a representative.  Completing this step first allows us to expedite the registration process once you pass your exam.  There is a $117 charge for this service.  Please complete and submit the pre-registration form, background information and remittance form.  Once this process has been completed you can proceed to step 2.

Send Preregistration form to:
Scan:  todd.penrod@hbwadvisory.com
Fax:  800-636-1302
Mail:  HBW Advisory Services LLC
3355 Cochran Street Ste 100
Simi Valley, CA  93063

STEP 2 – STUDY FOR THE SERIES 65 EXAM

Study Material for the 65 licensing test can be found at the following websites:

Examfx – HBW Flyer 0612

A.D. Banker & Company (Books, Practice Exams)

Kaplan University  Must call to order (800) 824-8742 to receive a 5% discount mention HBW.

 STEP 3 – SCHEDULING YOUR EXAM

If you have ever been registered with FINRA you have a CRD number.  Per FINRA requirements, even if you do not know what the number is or was, you CANNOT REGISTER a U-10 online to schedule your exam.  FIRNA will reject the U-10 after accepting your $155 fee and will not refund the money.

If you are getting ready to schedule your exam and you were previously but, not currenly registered with FINRA (for example series 6, 63,65,66 etc.) you will need to submit your complete HBW Advisory LLC registration kit (including the U-4) to HBW Advisory Services LLC  and HBW will submit your request for examination.

If you have never been registered with FINRA please follow the directions on filing your U-10 to request a test date attached below:

How long must I wait after failing an exam before I can take it again? The following waiting periods apply for individuals needing to retake the Series 65 or Series 66 following a failed attempt: (1) a minimum of 30 days after failing the first exam before the second taking of the exam can be scheduled; (2) a minimum of 30 days after failing the exam for the second time before the third taking of the exam can be scheduled; and (3) a minimum of 180 days after failing the exam for a third time before the fourth taking of the exam (and each subsequent taking) can be scheduled. These waiting periods mirror those in place for FINRA-sponsored examinations.

STEP 4 STEP 4 CONTRACTING AND SUBMITTING YOUR FEES WITH HBW ADVISORY:

Submitting your fees:  How much does it cost be registered with HBW Advisory Services LLC?  Complete fee schedule for HBW Advisory Services LLC.

Series 65 Reps must keep their U-4 form up to date with FINRA. Use this form to inform HBW Advisory Services of your Outside Business Activities.

Send  Registration information to:
Scan:  todd.penrod@hbwadvisory.com
Fax:  800-636-1302
Mail:  HBW Advisory Services LLC
3355 Cochran Street Ste 100
Simi Valley, CA  93063

STEP 5 – GO TO ‘COMPLIANCE’ PAGE

Please thoroughly read the overview and compliance manual.  Make sure you submit your ADV Supplement, Business cards and stationary for approval.