Licensing
Your Guide To Personalized Education
Before Your Exam: Acquiring The Proper Study Materials
Securities Licensing
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Kaplan offers diversified exam prep packages, tailored to the specific needs of registered representatives.
Our innovative study tools are designed to work together to:
- Add focus and structure to a complete study plan
- Make your prep time more productive
- Boost your confidence on exam day
- Support a flexible study schedule
Accessing Your Portal
- Go to: home.kaplanlearn.com/portal/gibbswealth
- Click Log In to either log in or to create an account.
- After logging in, click Browse Offerings to view our program offerings and to order.
- Once enrolled, click Access Your Courses to access your online material.
Scheduling Your Exam: Registering & Scheduling Through FINRA
After You Pass your Exam: Registration
Congratulations on passing the Series 65 exam!
You have made an invaluable investment into both your business and yourself. Over the next few weeks you will be working with our very own Hannah McClendon to process the required documents for registration.
Please use Hannah’s contact information below along with a list of documents that she will be providing to you.
*Without proper registration you are not compliant to write/pursue any AUM business*
Hannah McClendon Contact Information:
List Of Required Documents:
- Investment Advisor Onboarding Application
- DBA
- Pre-Hire CRD Release
- Non-Disclosure Agreement
- Gibbs Compensation & Affiliation Agreement
- RIA / IAR / FMO Affiliation Agreement
- Staff Access Form
- Direct Deposit Information
- W9
- Form U4 (As Needed)