Get started in the Securities Industry
We offer the entire range of Registered Representative licensing exams to start you on the path to success.
- Securities Industry Essentials SIE
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Securities Industry Essentials SIE
The SIE is a FINRA licensing exam and pre-requisite to working within the financial services industry and is taken in combination with the following exams: Series 6, 7, 52, 57, 79, 86, 87 or 99. Individuals are not required to be an employee of a sponsoring firm in order to sit take the SIE exam. - Series 3
Series 3
Series 3 is a National Futures Association licensing exam required for commodities and futures professionals, who solicit orders, or supervise individuals on behalf of a Futures Commission Merchant , Introducing Broker, Commodity Trading Advisor, or Commodity Pool Operator. - Series 6
Series 6
Series 6 is a FINRA licensing exam required for registered representives who sell investment companies, variable annuities and life insurance contracts. Individuals are required to pass both the Series 6 as well as the SIE exam in order to register as a representative. - Series 7
Series 7
Series 7 is a FINRA licensing exam required for registered representatives who sell the broadest range of securities including corporate securities, municipal securities, and options. Individuals are required to pass both the Series 7 and the SIE exam in order to register as a representative.Starting at $225
- Series 31
Series 31
Series 31 is a National Futures Association licensing exam required for individuals who sell commodity pools.Starting at $60
- Series 32
Series 32
Series 32 is a National Futures Association licensing exam required for individuals who are currently registered in the United Kingdom as general representatives for futures and options.Starting at $60
- Series 50
Series 50
Series 50 is a MSRB licensing exam required for municipal financial professionals who offer advice to municipal entities relating to investments or the issuance of municipal debt.Starting at $195
- Series 52
Series 52
Series 52 is a MSRB licensing exam required for individuals engaged in the sale or underwriting of municipal securities. Individuals are required to pass both the Series 52 top-off Exam and the SIE qualification exam in order to register as a representative.Starting at $325
- Series 57
Series 57
Series 57 is a FINRA licensing exam required for an Equity Trader or Proprietary Trader. Individuals are required to pass both the Series 57 top-off Exam and the SIE qualification exam in order to register as a representative.Starting at $245
- Series 63
Series 63
Series 63 is a NASAA licensing exam required for individuals seeking to register and meet their state licensing requirement. This exam is frequently combined with the SIE, Series 6, 7, 79.Starting at $85
- Series 65
Series 65
Series 65 is a NASAA licensing exam required for individuals seeking to register and meet their state investment adviser representative licensing requirement and provide advisory services. This exam is frequently combined with the SIE, Series 6 and 7.Starting at $185
- Series 66
Series 66
Series 66 is a NASAA licensing exam, required for individuals seeking to register and meet their state investment advisor representitive licensing requirement and provide adivsory services. Series 7 is a pre-requisite for this exams and financial advisors often combine it with SIE and Series 7.Starting at $135
- Series 79
Series 79
Series 79 is a FINRA licensing exam required for individuals who are seeking to work in the capital markets as an investment banker. Individuals are required to pass both the SIE and Series 79 exam in order to register as a representative. This exam is frequently combined with the SIE and Series 63.Starting at $370
- Series 86
Series 86
Series 86 is a FINRA licensing exam required for research analysts and other individuals who produce research reports. Individuals are required to pass both the Series 86 and 87 in order to register as a research analyst. This exam is frequently purchased with the Series 86.Starting at $275
- Series 87
Series 87
Series 87 is a FINRA licensing exam required for research analysts and other individuals who produce research reports. Individuals are required to pass both the Series 86 and 87 in order to register as a research analyst. This exam is frequently purchased with the Series 86.Starting at $125
- Series 99
Series 99
Series 99 is a FINRA licensing exam required for "covered persons" responsible for certain broker dealer back-office or operational functions. Individuals are required to pass both the Series 99 Exam and SIE exam in order to register as an operations professional. This exam is frequently combined with the SIE.23Take Your Career to the Next Level
As a Manager or Principal we have the right licensing exams to help transition your career.
- Series 4
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Series 4
Series 4 is a FINRA exam required for individuals responsible for the supervision of a broker dealer's options accounts, trading, and sales personnel. A current SIE and Series 7 registration are co-requisites. - Series 9
Series 9
Series 9 is a FINRA exam required for individuals responsible for sales management or branch office supervision that includes options. Series 9 is typically taken along with the Series 10 by individuals who have a supervisory role at a broker dealer. A current SIE and Series 7 registration are prerequisites. - Series 10
Series 10
Series 10 is a FINRA exam required for individuals responsible for sales management or branch office supervision. Series 10 is typically taken along with the Series 9 by individuals who have a supervisory role at a broker dealer. A current SIE and Series 7 registration are co-requisites. - Series 14
Series 14
Series 14 is a FINRA exam required for chief compliance officers and those who supervise ten or more people engaged in compliance activities at New York Stock Exchange member firms.Starting at $255
- Series 16
Series 16
Series 16 exam is an FINRA exam required for Supervisory Analysts who prepare or approve research reports. Passing any part of the CFA examination makes you eligible to have Part II waived. This course can be ordered seperately and has two parts; Part I covers regulations Part II covers Securities Analysis.Starting at $255
- Series 24
Series 24
Series 24 is a FINRA exam required for individuals who act as a principal / general securities supervisor. In addition to the Series 24 exam, candidates must pass the SIE Exam and the appropriate representative-level qualification exam. A current SIE and Series 7 registration are prerequisites.Starting at $60
- Series 26
Series 26
Series 26 is a FINRA exam required for individuals who supervise or manage representiatives who sell investment company and variable insuracne products. A current SIE and Series 6 or Series 7 registration are co-requisites.Starting at $150
- Series 27
Series 27
Series 27 is a FINRA exam required for individuals who manage back office operations, prepare and maintain a broker dealers books and records, and manage a firm's adherence to financial and operational regulations.Starting at $350
- Series 30
Series 30
Series 30 is a National Futures Association exam required for individuals who will function as branch managers. A current Series 3 registration is a co-requisite.Starting at $95
- Series 51
Series 51
Series 51 is an National Futures Association exam for individuals who supervise municipal securities activities of the dealer and its associated persons limited to municipal fund securities. A current Series 24 or Series 26 registration is a co-requisite.Starting at $95
- Series 53
Series 53
Series 53 is a MSRB exam required for individuals who will supervise a broker dealers municipal securities activities. A current SIE and Series 52 registration are co-requisities.Combination Package Options to Fit Your Career Path
Combination packages to meet your licensing requirements, and save you time and money.
- Series 6, SIE & 63
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Series 6, SIE & 63
If you are starting your career in the financial services industry and require a Series 6 License, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save 10% off retail prices by puchasing the combination package. - Series 7 & SIE & 63
Series 7 & SIE & 63
If you are starting your career in the financial services industry and require a Series 7 but will not be engage in advisory services, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save 10% off retail prices by puchasing the combination package. - Series 7 & SIE & 66
Series 7 & SIE & 66
If you are starting your career in the financial services industry and require a Series 7 & 66 License, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save10% off retail prices by puchasing the combination package. - Series 9 & 10
Series 9 & 10
If you are becoming an principal and are responsible for supervising your firm's options and general securities activities, this combination of package will put you on a path to become a fully registered sales prinicipal with FINRA. Take the next step, start training today and save 10% off retail prices by purchasing the combination package.Starting at $481.50
- Series 16 Part 1 & 2
Series 16 Part 1 & 2
If you are becoming an principal and are responsible for supervising your firm's research reports , this combination of package will put you on a path to become a fully registered supervisory analyist with FINRA. Take the next step, start training today and save 10% off retail prices by purchasing the combination package.Starting at $255
- Series 57 & SIE
Series 57 & SIE
If you are starting your career as a trader and require a Series 57 License, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save 10% off retail prices by purchasing the combination package.Starting at $243.75
- Series 79 & SIE
Series 79 & SIE
If you are starting your career in the capital markets industry and require a Series 79 License, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. TTake the next step, start training today and save 10% off retail prices by purchasing the combination package.Starting at $387.45
- Series 79 , SIE & 63
Series 79 , SIE & 63
If you are starting your career in the capital markets industry and require a Series 79 License, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save 10% off retail prices by purchasing the combination package.Starting at $516.60
- Series 86 & SIE
Series 86 & SIE
If you are starting your career in research and require the Series 86 License only due to an exemption, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save 10% off retail prices by purchasing the combination package.Starting at $355
- Series 86, Series 87 & SIE
Series 86, Series 87 & SIE
If you are starting your career in research and require a Series 86 & 87 License, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save 10% off retail prices by purchasing the combination package.Starting at $467.10
- Series 99 & SIE
Series 99 & SIE
If you are starting your career in operations and require a Series 99 License, this combination of packages is specifilly designed to help you prepare, and pass your required FINRA exams. TTake the next step, start training today and save 10% off retail prices by purchasing the combination package.23 - Series 16 Part 1 & 2
Student Testimonials
Students tell me that of all the courses they’ve taken in college, this was the most valuable. The program has opened doors for my students and a handful have been hired as a direct result.
- Ray LeBlanc, PROFESSOR OF FINANCE BANKING AND REAL ESTATE, University of Nebraska Omaha
This is the best and most challenging course I have taken at Marshall. The course was informative and helped me understand Series 7 concepts.
- , STUDENT, Marshall University
- Series 16
- Series 31