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Looking for Securities licensing to become a stockbroker? Then you've come to the right place!
ABTrainingCenter.com offers a variety of Securities licensing courses to help you become a stockbroker, including in-person Securities licensing seminars, online Securities licensing training, and several self-study programs to help individuals pass their Securities exam and earn their Securities license.
Specifically, we offer training for Series 3, Series 4, Series 6, Series 7, Series 9, Series 10, Series 11, Series 24, Series 26, Series 27, Series 31, Series 32, Series 33, Series 51, Series 53, Series 55, Series 63, Series 65, and Series 66 licensing and exam preparation as described below.
To find your training for earning your Securities license and becoming a stockbroker, simply click on the license name below to see recommended and available training courses. Good luck on your exam!
- Series 3:
Qualifies an individual to sell futures contracts or options on futures.
- Series 4: Registered Options Principal
Qualifies managers to supervise option sales personnel or individuals supervising options compliance.
- Series 6: Representative Investment Company Products/Variable Contract
Qualifies an individual to sell investment company securities, variable annuities, and variable life insurance mutual funds.
- Series 7: General Securities
Qualifies a representative to sell any type of security.
- Series 9: General Securities Sales Supervisor
Qualifies an individual to register as a principal to supervise sales activities in corporate, municipal, and options securities, investment company products, variable contracts, and direct participation programs.
- Series 10: General Securities Sales Supervisor
Qualifies an individual to register as a principal to supervise sales activities in corporate, municipal, and options securities, investment company products, variable contracts, and direct participation programs.
- Series 11: Assistant Representative/Order Processing
Qualifies an individual associated with an NASD member form to accept unsolicited telephone orders and give quotes to customers.
- Series 23: General Securities Principal Sales Supervisor
Qualifies an individual to be an officer, partner or supervisor of sales personnel with an NASD member firm.
- Series 24: General Securities Principal
Qualifies an individual to be an officer, partner, or supervisor of sales personnel with a NASD member firm.
- Series 26: Investment Company Products/Variable Contracts Principal
This course qualifies an individual to supervise the sale of investment company securities and variable contracts.
- Series 27: Financial And Operations Principal
This course qualifies an individual to be a financial officer of a NASD member firm.
- Series 31
Qualifies an individual to solicit funds, securities, or property for participation in a commodity pool, solicit discretionary accounts to be managed by CTAs, or supervise persons who perform these same limited activities.
- Series 32
Qualifies individuals who are registered by regulatory authorities in the UK or Canada.
- Series 33
Qualifies an individual to solicit or accept customer orders for futures or options involving stock index, currency, or interest rate/security futures products, or to supervise persons who perform these same limited activities.
- Series 51: Municipal Securities Limited Principal
Qualifies an individual to manage, direct, or supervise activities in municipal fund securities.
- Series 53: Municipal Securities Principal
Qualifies an individual to be a financial officer of a NASD member firm.
- Series 55: Equity Trader/Limited Representative
Qualifies an individual to trade equity and convertible debt securities on a pricipal or agency basis.
- Series 62: Corporate Securities Limited Representative
Qualifies individuals to sell corporate securities.
- Series 63: Uniform Securities Agent State Law
Qualifies individuals to sell securities across state lines. These laws are sometimes called "Blue Sky" laws.
- Series 65: Uniform Investment Advisor Law
Qualifies a representative to act as an investment advisor and receive a fee.
- Series 66: Registered Agent and Investment Advisor
Qualifies an individual to be both an "agent" of a broker/dealer and an "investment advisor" representative in each state.
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ABTrainingCenter.com offers a variety of Securities licensing courses to help you become a stockbroker, including in-person Securities licensing seminars, online Securities licensing training, and several self-study programs to help individuals pass their Securities exam and earn their Securities license.
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