Passing the FINRA Securities Industry Essentials (SIE) Exam is the first step to entering the securities industry and serves as the corequisite to qualification licensing exams (e.g., Series 6, 7, 79). To sit for the SIE Exam, you are not required to be associated with a member firm.

The Series 10 Exam is a principal level licensing exam that, along with the Series 9 Exam, qualifies a person to supervise a firm's sales activity in full range of investment products.

The Series 24 is an exam and license entitling the holder to supervise and manage branch activities at a broker-dealer. Most often, supervisors obtaining their Series 24 license are in charge of regulatory compliance over trading and market-making activities, underwriting, and advertising.

The Series 3 is a securities license entitling you to sell commodities futures contracts and options on commodities futures contracts. Passing the Series 3 test allows anyone in the U.S. the right to offer alternative investments in commodities and futures securities.

The Series 52 Exam was developed by the Municipal Securities Rulemaking Board (MSRB) and qualifies a person as a Municipal Securities Representative to engage in municipal activities including underwriting and trading.

Series 57 is a FINRA licensing exam required for an Equity Trader or Proprietary Trader. With the Series 57, you can do NASDAQ trading, over-the-counter (OTC) equity trading, and proprietary trading.

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.

The Series 65 Exam allows a person to function as an investment adviser representative and receive a fee for their work. To handle the challenges posed by this licensing exam, you need to partner with the industry leader in exam preparation.

This course allows you to qualify as an Investment Adviser Representative and as a securities agent representing a broker dealer.

Series 7 is a FINRA licensing exam that is required for individuals who want to sell a broad range of securities, including stocks, bonds, corporate and municipal securities, options, and more.