Comprehensive Securities Licensing Exam Preparation

• Securities Industry Essentials SIE
  LICENSE DESCRIPTION

  Securities Industry Essentials SIE

  The SIE is a FINRA 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 take the SIE exam.

  Starting at $124

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• Series 3
  LICENSE DESCRIPTION

  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.

  Starting at $271

  View Packages
• Series 6
  LICENSE DESCRIPTION

  Series 6

  Series 6 is a FINRA licensing exam required for registered representatives 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.

  Starting at $130

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• Series 7
  LICENSE DESCRIPTION

  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 $235

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• Series 31
  LICENSE DESCRIPTION

  Series 31

  Series 31 is a National Futures Association licensing exam required for individuals who sell commodity pools.

  Starting at $62

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• Series 32
  LICENSE DESCRIPTION

  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 $62

  View Packages
• Series 50
  LICENSE DESCRIPTION

  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 $203

  View Packages
• Series 52
  LICENSE DESCRIPTION

  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 Exam and the SIE qualification exam in order to register as a representative.

  Starting at $339

  View Packages
• Series 57
  LICENSE DESCRIPTION

  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 Exam and the SIE qualification exam in order to register as a representative.

  Starting at $256

  View Packages
• Series 63
  LICENSE DESCRIPTION

  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 $88

  View Packages
• Series 65
  LICENSE DESCRIPTION

  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 $193

  View Packages
• Series 66
  LICENSE DESCRIPTION

  Series 66

  Series 66 is a NASAA licensing exam, required for individuals seeking to register and meet their state investment advisor representative licensing requirement and provide advisory services. Series 7 is a pre-requisite for this exams and financial advisors often combine it with SIE and Series 7.

  Starting at $141

  View Packages
• Series 79
  LICENSE DESCRIPTION

  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 $386

  View Packages
• Series 86
  LICENSE DESCRIPTION

  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 $287

  View Packages
• Series 87
  LICENSE DESCRIPTION

  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 $130

  View Packages
• Series 99
  LICENSE DESCRIPTION

  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.

  Starting at $130

  View Packages
• View all . . .

Securities Industry Essentials SIE

Starting at $124

• Series 4
  LICENSE DESCRIPTION

  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.

  Starting at $287

  View Packages
• Series 9
  LICENSE DESCRIPTION

  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 co-requisites.

  Starting at $219

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• Series 10
  LICENSE DESCRIPTION

  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.

  Starting at $339

  View Packages
• Series 14
  LICENSE DESCRIPTION

  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 $245

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• Series 16
  LICENSE DESCRIPTION

  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 separately and has two parts; Part I covers regulations Part II covers Securities Analysis.

  Starting at $266

  View Packages
• Series 24
  LICENSE DESCRIPTION

  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 co-requisites.

  Starting at $287

  View Packages
• Series 26
  LICENSE DESCRIPTION

  Series 26

  Series 26 is a FINRA exam required for individuals who supervise or manage representatives who sell investment company and variable insurance products. A current SIE and Series 6 or Series 7 registration are co-requisites.

  Starting at $156

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• Series 27
  LICENSE DESCRIPTION

  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 $365

  View Packages
• Series 30
  LICENSE DESCRIPTION

  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 $99

  View Packages
• Series 51
  LICENSE DESCRIPTION

  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 $99

  View Packages
• Series 53
  LICENSE DESCRIPTION

  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-requisites.

  Starting at $261

  View Packages
• Series 54
  LICENSE DESCRIPTION

  Series 54

  Series 54 is an MSRB exam for individuals who engage in the management or supervision of municipal advisory activities. A current Series 50 registration is a co-requisite.

  Starting at $412

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• View all . . .

• Series 6, SIE & 63
  LICENSE DESCRIPTION

  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 specifically 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 $309

  View Package
• Series 7 & SIE & 63
  LICENSE DESCRIPTION

  Series 7 & SIE & 63

  If you are starting your career in the financial services industry and require a Series 7 but will not be engaged in advisory services, this combination of packages is specifically 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 $403

  View Package
• Series 7 & SIE & 66
  LICENSE DESCRIPTION

  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 specifically designed to help you prepare, and pass your required FINRA exams. Take the next step, start training today and save10% off retail prices by purchasing the combination package.

  Starting at $450

  View Package
• Series 9 & 10
  LICENSE DESCRIPTION

  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 $503

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• Series 16 Part 1 & 2
  LICENSE DESCRIPTION

  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 analyst with FINRA. Take the next step, start training today and save 10% off retail prices by purchasing the combination package.

  Starting at $266

  View Package
• Series 57 & SIE
  LICENSE DESCRIPTION

  Series 57 & SIE

  If you are starting your career as a trader and require a Series 57 License, this combination of packages is specifically 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 $339

  View Package
• Series 79 & SIE
  LICENSE DESCRIPTION

  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 specifically 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 $459

  View Package
• Series 79 , SIE & 63
  LICENSE DESCRIPTION

  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 specifically 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 $539

  View Package
• Series 86 & SIE
  LICENSE DESCRIPTION

  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 specifically 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 $370

  View Package
• Series 86, Series 87 & SIE
  LICENSE DESCRIPTION

  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 specifically 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 $488

  View Package
• Series 99 & SIE
  LICENSE DESCRIPTION

  Series 99 & SIE

  If you are starting your career in operations and require a Series 99 license, this combination of packages is specifically 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 $229

  View Packages
• View all . . .

• Securities Industry Essentials SIE
  LICENSE DESCRIPTION

  Securities Industry Essentials SIE

  The SIE is a FINRA 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 take the SIE exam.

  Starting at $124

  View Packages
• Series 3
  LICENSE DESCRIPTION

  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.

  Starting at $271

  View Packages
• Series 4
  LICENSE DESCRIPTION

  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.

  Starting at $287

  View Packages
• Series 6
  LICENSE DESCRIPTION

  Series 6

  Series 6 is a FINRA licensing exam required for registered representatives 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.

  Starting at $130

  View Packages
• Series 7
  LICENSE DESCRIPTION

  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 $235

  View Packages
• Series 9
  LICENSE DESCRIPTION

  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 co-requisites.

  Starting at $219

  View Packages
• Series 10
  LICENSE DESCRIPTION

  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.

  Starting at $339

  View Packages
• Series 14
  LICENSE DESCRIPTION

  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 $245

  View Packages
• Series 16
  LICENSE DESCRIPTION

  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 separately and has two parts; Part I covers regulations Part II covers Securities Analysis.

  Starting at $266

  View Packages
• Series 24
  LICENSE DESCRIPTION

  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 co-requisites.

  Starting at $287

  View Packages
• Series 26
  LICENSE DESCRIPTION

  Series 26

  Series 26 is a FINRA exam required for individuals who supervise or manage representatives who sell investment company and variable insurance products. A current SIE and Series 6 or Series 7 registration are co-requisites.

  Starting at $156

  View Packages
• Series 27
  LICENSE DESCRIPTION

  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 $365

  View Packages
• Series 30
  LICENSE DESCRIPTION

  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 $99

  View Packages
• Series 31
  LICENSE DESCRIPTION

  Series 31

  Series 31 is a National Futures Association licensing exam required for individuals who sell commodity pools.

  Starting at $62

  View Packages
• Series 32
  LICENSE DESCRIPTION

  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 $62

  View Packages
• Series 50
  LICENSE DESCRIPTION

  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 $203

  View Packages
• Series 51
  LICENSE DESCRIPTION

  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 $99

  View Packages
• Series 52
  LICENSE DESCRIPTION

  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 Exam and the SIE qualification exam in order to register as a representative.

  Starting at $339

  View Packages
• Series 53
  LICENSE DESCRIPTION

  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-requisites.

  Starting at $261

  View Packages
• Series 54
  LICENSE DESCRIPTION

  Series 54

  Series 54 is an MSRB exam for individuals who engage in the management or supervision of municipal advisory activities. A current Series 50 registration is a co-requisite.

  Starting at $412

  View Packages
• Series 57
  LICENSE DESCRIPTION

  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 Exam and the SIE qualification exam in order to register as a representative.

  Starting at $256

  View Packages
• Series 63
  LICENSE DESCRIPTION

  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 $88

  View Packages
• Series 65
  LICENSE DESCRIPTION

  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 $193

  View Packages
• Series 66
  LICENSE DESCRIPTION

  Series 66

  Series 66 is a NASAA licensing exam, required for individuals seeking to register and meet their state investment advisor representative licensing requirement and provide advisory services. Series 7 is a pre-requisite for this exams and financial advisors often combine it with SIE and Series 7.

  Starting at $141

  View Packages
• Series 79
  LICENSE DESCRIPTION

  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 $386

  View Packages
• Series 86
  LICENSE DESCRIPTION

  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 $287

  View Packages
• Series 87
  LICENSE DESCRIPTION

  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 $130

  View Packages
• Series 99
  LICENSE DESCRIPTION

  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.

  Starting at $130

  View Packages
• View all . . .