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An Overview of FINRA Series 66
Content
Darin Pastor
Introduction
Darin Pastor is a former managing director of Prudential Financial with over two
decades of financial industry experience. Currently, Darin Pastor serves as the chief
executive officer and principal at Capstone Affluent Strategies, where he leverages
his expertise and credentials, which include Financial Industry Regulatory Authority
(FINRA) Series 6, 7, 24, 51, 63, and 66 credentials.
The FINRA Series 66, also known as the Uniform Combined State Law Examination,
is an examination that qualifies individuals to serve as investment advisor
representatives or securities agents. Although FINRA administers the examination,
it was created and is maintained by the North American Securities Administrators
Association. Currently, the Series 66 covers economic and business elements,
investment vehicle characteristics, investment strategies, and laws, regulations, and
guidelines.
The Series 66 is a co-requisite of the Series 7 exam, which allows financial
professionals to sell all types of securities products (except commodities and
futures). Financial professionals must pass both examinations before applying to
register as an investment advisor representative or securities agent in a state.

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An Overview of FINRA Series 66 Content

  • 1. An Overview of FINRA Series 66 Content Darin Pastor
  • 2. Introduction Darin Pastor is a former managing director of Prudential Financial with over two decades of financial industry experience. Currently, Darin Pastor serves as the chief executive officer and principal at Capstone Affluent Strategies, where he leverages his expertise and credentials, which include Financial Industry Regulatory Authority (FINRA) Series 6, 7, 24, 51, 63, and 66 credentials.
  • 3. The FINRA Series 66, also known as the Uniform Combined State Law Examination, is an examination that qualifies individuals to serve as investment advisor representatives or securities agents. Although FINRA administers the examination, it was created and is maintained by the North American Securities Administrators Association. Currently, the Series 66 covers economic and business elements, investment vehicle characteristics, investment strategies, and laws, regulations, and guidelines.
  • 4. The Series 66 is a co-requisite of the Series 7 exam, which allows financial professionals to sell all types of securities products (except commodities and futures). Financial professionals must pass both examinations before applying to register as an investment advisor representative or securities agent in a state.