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Learn what's required for your Financial Services License in United States

This financial services licensing information summarizes the minimum requirements established by the FINRA. We recommend you contact the FINRA for more detailed information or changes.

United States Financial Services: SIE

The Securities Industry Essentials (SIE) Exam assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. It is a prerequisite to working within the financial services industry. An individual is not required to be an employee of a sponsoring firm to take the exam. The exam does not allow an individual to perform a function and serves as one part in a combination of exams including the Series 6, 7, 52, 57, 79, 86, 87 or 99.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 7 Top Off

Series 7 is a FINRA exam required for individuals who may sell a broad range of securities including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. Individuals are required to pass both the Series 7 Top-Off Exam and the SIE qualification exam in order to register as a representative.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 79 Top Off

Series 79 is a FINRA exam required for individuals who are limited to investment banking functions concerning the underwriting of corporate securities. Individuals are required to pass both the Series 79 Top-Off Exam and the SIE qualification exam in order to register as a representative.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 6 Top Off

The Series 6 is a FINRA exam required for individuals who sell investment companies, variable annuities and life insurance policies. Individuals are required to pass both the Series 6 Top-Off as well as the SIE qualification exam in order to register as a representative.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 57 Top Off

Series 57 is a FINRA exam required for individuals who will act as either 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.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 99 Top Off

Series 99 is a FINRA exam required for individuals identified as "covered persons" responsible for certain back-office or operational functions. Individuals are required to pass both the Series 99 top-off Exam and the SIE qualification exam in order to register as an operations professional.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 52 Top Off

Series 52 is a Municipal Securities Rulemaking Board exam required for individuals engaged in the sale or underwriting of municipal securities or municipal fund 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.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 3

Series 3 is a National Futures Association exam required for individuals who solicit orders, customers, or customer funds or who supervise those individuals on behalf of a Futures Commission Merchant , Introducing Broker, Commodity Trading Advisor, or Commodity Pool Operator.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 4

Series 4 is a FINRA exam required for individuals overseeing activities related to the sale of options. Either a Series 7, Series 17, Series 37, Series 38, or Series 62 (with the Series 42) is prerequisite for taking the Series 4.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 6

Series 6 is a FINRA exam required for individuals who are limited to soliciting the purchase and/or sale of certain Investment Company Securities including mutual funds and variable insurance contracts.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 7

Series 7 is a FINRA exam required for individuals who may sell a broad range of securities including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 9

Series 9 is a FINRA exam required for individuals overseeing activities related to option sales. Series 9 is typically taken along with the Series 10 by individuals responsible for branch office supervision, or by regional and national sales managers.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 10

Series 10 is a FINRA exam required for individuals overseeing activities related to securities sales. It is typically taken along with the Series 9 by individuals responsible for branch office supervision, or by regional and national sales managers.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: SICP

STC’s Securities Industry Certificate Program (SICP) provides employees with a sound understanding of the securities marketplace, investment vehicles, customer accounts, and regulations impacting Registered Investment Advisors (RIA) and Broker-Dealers (BD). Students will also gain an in-depth knowledge of the structure and operation of a BD and RIA upon completion.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: 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.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 16.2

This exam is administered by the NYSE and taken by those who have the responsibility of preparing or approving research reports. Candidates who have passed any part of the CFA examination are eligible to have the securities analysis portion waived. This examination is required of an individual who will function as a Supervisory Analyst. This is a NYSE requirement and contains two parts; Part I covers regulations and Part II covers Securities Analysis.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 16

This exam is administered by the NYSE and taken by those who have the responsibility of preparing or approving research reports. Candidates who have passed any part of the CFA examination are eligible to have the securities analysis portion waived. This examination is required of an individual who will function as a Supervisory Analyst. This is a NYSE requirement and contains two parts; Part I covers regulations and Part II covers Securities Analysis.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 17

The Series 17 examination is designed to address the duplication of certain qualification requirements in the United States and the United Kingdom. Individuals who hold certain certifications recognized by the Financial Conduct Authority (FCA) in the United Kingdom may be eligible to act as a General Securities Representative in the United States by obtaining the United Kingdom Securities Representative (IE) registration.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 22

Series 22 is required for individual who will be limited to soliciting the purchase, and/or sale of programs that provide for flow-through tax consequences, such as oil and gas programs, real estate programs, limited partnerships, and S corporation offerings.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 24

Series 24 is a FINRA exam required for individuals who will manage or supervise investment banking or securities business for corporate securities, direct participation programs, and investment company products/variable contracts.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 26

Series 26 is a FINRA exam required for individuals who will supervise or manage those who are limited to soliciting the purchase, and/or sale of certain Investment Company Securities including mutual funds and variable insurance contracts.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 27

Series 27 is a FINRA exam required for individuals who manage a broker-dealer's adherence to financial and operational regulations.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 30

Series 30 is a National Futures Association exam required for individuals who will function as branch managers. A prerequisite is the National Commodities Futures (Series 3) registration.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 31

Series 31 is a National Futures Association exam required for individuals who are limited to soliciting interests in commodity pools.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 32

Series 32 is a National Futures Association (NFA) exam required for individuals who are currently registered in the United Kingdom as general representatives for futures and options. This examination only covers NFA regulations.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 50

Series 50 is a Municipal Securities Rulemaking Board exam required for individuals engaged by a Municipal Advisory firm to offer advice to municipal entities relating to investments or the Issuance of Municipal Debt.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 51

Series 51 is a Municipal Securities Rulemaking Board exam required for individuals limited to the sale of municipal fund securities or supervision of individuals selling municipal fund securities (e.g. 529 College Savings Plans, Local Government Investment Pools (LGIPs).

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 52

Series 52 is a Municipal Securities Rulemaking Board exam required for individuals engaged in the sale or underwriting of municipal securities or municipal fund securities.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 53

Series 53 is a Municipal Securities Rulemaking Board exam required for individuals who will supervise the activities of municipal securities representatives, or by municipal fund securities representatives.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 54

Series 54 is an MSRB principal exam that’s required for individuals who are associated with municipal advisors and engage in the management, direction, or supervision related to municipal advisory activities. A Municipal Advisor Representative (Series 50) qualification is a prerequisite for taking the Series 54.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 57

Series 57 is a FINRA exam required for individuals who will act as either an Equity Trader or Proprietary Trader.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 62

Series 62 is a FINRA exam required for individuals who are limited to the sale of corporate securities.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 63

Series 63 is a North American Securities Administrators Association (NASAA) exam required for individuals seeking to register as securities agents with a state securities administrator.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 65

Series 65 is a North American Securities Administrators Association (NASAA) exam which is required for individuals seeking to register with a state securities administrator in order to function as an investment adviser representative.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 66

Series 66 is a North American Securities Administrators Association (NASAA) exam, which is required for individuals seeking to register with a state securities administrator in order to function as both securities agents and investment adviser representatives. The Series 7 is a prerequisite exam, and the Series 66 fulfills the requirements for both the Series 63 and the Series 65.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 79

Series 79 is a FINRA exam required for individuals who are limited to investment banking functions concerning the underwriting of corporate securities.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 86

Series 86 is a FINRA exam required for individuals who produce research reports. The 86 exam covers research analysis. Individuals are also required to pass the Series 87, which covers rules and regulations concerning research reports.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 87

Series 87 is a FINRA exam required for individuals who produce research reports. The 87 exam covers rules and regulations concerning research reports. Individuals are also required to pass the Series 86, which covers securities analysis.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

United States Financial Services: Series 99

Series 99 is a FINRA exam required for individuals identified as "covered persons" responsible for certain back-office or operational functions.

Governing Agency

Name: FINRA
Phone: 3015906500
Fax:
Address: 1735 K Street, NW Washington, DC 20006

Good to know

Other facts and insights about getting your license

Note: This license renewal information is provided as a convenience only and is subject to change at any time. It's ultimately the responsibility of the licensee to be sure that he or she is meeting all requirements for each license and corresponding renewal period.