How to Pass Series 3 Exam and Take Your Career to the Next Level

Series 3 Requirements

  1. 1. Firm Sponsorship is NOT required
    • To take the Series 3 Exam, you must:
      • — Be 18 years of age
  2. 2. Study for Your Series 3 License
    • By choosing STC as your exam prep provider, you gain access to print and online study manuals, online practice exams, the instructor hotline, and more.
  3. 3. Complete Your TESS Filing or Form U4
    • If you’re taking the exam independently, you must utilize the Test Enrollment Services System (TESS), which is similar to the former Form U10, to file an exam request with FINRA.
    • If you’re sponsored by a firm, your sponsoring firm will send your completed Form U4 to FINRA.
    • FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam.
  4. 4. Schedule Your Exam
  5. 5. Pass the Series 3
    • After your exam, you’ll receive a printed copy of your score.
    • To obtain your Series 3 License, there are no corequisite exams that must be passed.
Purchase Exam Prep

Get your Series 3 License with STC:

Over 1,500,000 people have used STC to pass their securities licensing exams. With more than 50 years of experience, STC’s pass rate on the Series 3 Licensing Exam is higher than the national average.