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Securites Licensing / Training

Find Securities Licensing

Looking for securities licensing to become a stockbroker or financial advisor? Then you've come to the right place! Securites Licensing

ABTrainingCenter.com offers a variety of securities licensing courses to help you become a stockbroker or financial advisor, 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.

To find training to earn your securities license and to become a stockbroker or financial advisor, simply click on the license name below to see recommended and available training courses. Good luck on your exam!

License Types

Series 3: National Commodities Futures Examination
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: Investment Company Products/Variable Contract Representative
Qualifies an individual to sell investment company securities, mutual funds, variable annuities, and variable life insurance products.
Series 7: General Securities Representative
Qualifies an individual to solicit, purchase, and/or sell all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.
Series 9: General Securities Sales Supervisor - Options
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 - General Securities
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 Examination
Qualifies an individual associated with a FINRA member firm to accept unsolicited telephone orders and give quotes to customers.
Series 24: General Securities Principal
Qualifies an individual to be an officer, partner, or supervisor of sales personnel with a FINRA member firm.
Series 26: Investment Company Products/Variable Contracts Limited Principal
Qualifies an individual to supervise the sale of investment company securities and variable contracts.
Series 27: Financial and Operations Principal
Qualifies an individual to supervise the financial and operations activities of a FINRA member firm.
Series 28: Introducing Broker/Dealer Financial and Operations Principal
Qualifies an individual to supervise the recordkeeping requirements of introducing firms that do not carry customer accounts or hold customer funds or securities.
Series 31: Futures Managed Funds Examination
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: Limited Futures Examination
Qualifies individuals who are registered by regulatory authorities in the UK or Canada to solicit futures business.
Series 51: Municipal Fund 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 FINRA member firm.
Series 55: Equity Trader Limited Representative
Qualifies an individual to trade equity and convertible debt securities on a principal or agency basis.
Series 56: Proprietary Trader Examination
Qualifies an individual to conduct business as a proprietary trader with certain exchanges.
Series 62: Corporate Securities Limited Representative
Qualifies an individual to sell public offerings and/or private placements of corporate stocks, corporate bonds, rights, warrants, REITs, CMOs, and securities of closed-end companies, repos and certificates of accrual on corporate securities; securities traders; M&A; venture capital; corporate financing; ETFs, and hedge funds.
Series 63: Uniform Securities Agent State Law Examination
The examination covers the principles of state securities regulation reflected in the Uniform Securities Act; these laws are sometimes called "Blue Sky" laws.
Series 65: Uniform Investment Advisor Law Examination
Qualifies a representative to act as an investment advisor and receive a fee.
Series 66: Uniform Combined State Law Examination
Qualifies an individual to be both an "agent" of a broker/dealer and an "investment advisor" representative in each state.
Series 79: Investment Banking
Qualifies an individual to advise on or facilitate debt or equity offerings through a private placement or public offering or to advise or facilitate mergers or acquisitions, tender offers, financial restructurings, asset sales, divestitures or other corporate reorganizations or business combination transactions.
Series 82: Limited Representative-Private Securities Offerings Representative
Qualifies an individual for the sale of private placement securities as part of a primary offering.
Series 99: Operations Professional Examination
Required of individuals who fall under the covered functions enumerated in FINRA Rule 1230(b)(6).

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