FINRA Securities Licensing Training Courses

Find FINRA Securities Licensing And Exam Prep Courses

Looking for securities licensing courses that help you to pass your FINRA exams and 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 Instructor-led, 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 to all on your FINRA exams!

FINRA Securities License Types

Click on the FINRA securities license type that most relates to your interests for more information about the series and our securities licensing course recommendations:

Securities Industry Essentials (SIE) Examination
The core requirement for obtaining a Series 6, 7, 79, or 99 license.
FINRA Top Off Exams
A Top Off exam is the second of two exams required to earn a Series 6, 7, 79, and 99 license.
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 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 32: Limited Futures Examination
Qualifies individuals who are registered by regulatory authorities in the UK or Canada to solicit futures business.
Series 52: Municipal Fund Securities Representative
Qualifies an individual to sell municipal fund securities. The examination covers U.S. government, federal agency, and other financial instruments, as well as applicable federal securities laws and regulations.
Series 53: Municipal Securities Principal
Qualifies an individual to be a financial officer of a FINRA member firm.
Series 57: Securities Trader Representative
Qualifies individuals looking to be a securities trader representative. These individuals can trade equity and convertible debt securities.
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 99: Operations Professional Examination
Required of individuals who fall under the covered functions enumerated in FINRA Rule 1230(b)(6).

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Why Take Securities License Exam Prep With ABTrainingCenter.com?

Exam day will be here before you know it. Ensure your success and confidently earn your stockbroker license with a dedicated training program from AB Training Center. You'll find numerous benefits when you choose our courses to prepare for your FINRA exams, including:

Expert instruction from top financial professionals: We've partnered with some of the largest, most well-known firms in financial education such as Kaplan Financial to give you unparalleled support in your studies. Your instructors can answer any questions you might have and guide you toward outstanding and ongoing success.
Tailored course topics: Each FINRA exam has unique content and passing requirements, which is why we offer courses expertly designed for each license type.
A variety of course types: Do you thrive in the presence of other students? Or would you rather take courses in the comfort of your home? We offer securities license training to accommodate nearly any need or schedule for your convenience.
Practice quizzes and exams: The best way to prepare for an exam is through hands-on practice, and AB Training Center has the tools you need for success. We offer various study materials, including practice quizzes and tests, similar to what you'll see on your FINRA exam. You'll be fully prepared for your exam with no unpleasant surprises.

Types Of Securities License Courses Available

We understand that each person who takes our courses is unique. Through leading names in financial education, we offer a wide range of securities exam course options to accommodate different schedules and learning styles:

Instructor-led
Gain expert insights into your exam with some of today's top experts in the field. You can enroll in Instructor-led courses that give you the chance to interact with other students and prepare with friendly, knowledgeable instructors.
Webinars Or Audio Courses
Many working students want to learn under an instructor but need the freedom to take classes on their own time. We provide live and on-demand webinar courses that can do both. You can choose to learn and ask questions in real time or watch your classes later at a time that works best for your needs.
Self-Study Materials
For complete flexibility in your studies, self-study courses allow you to learn anytime and anywhere. You'll receive a wide variety of printed and digital materials, which include all the information you'll need to pass your securities exam the first time.

Contact AB Training Center To Start Training Today

Are you looking for the best way to prepare for your FINRA exams and ensure your ongoing success as a financial advisor or stockbroker? Look no further than AB Training Center.

We're dedicated to helping financial professionals grow to become industry leaders. Since 1994, we've helped emerging professionals across the country prepare for their securities license with Instructor-led, online, and self-study study guides. From your SIE to your Series exam, you'll find ongoing support among our range of training services.

For more information about our available products and services in your area, contact us today or click on your desired license type from the list of securities exams above.

FINRA Securities Licensing Courses In Key States

ABTrainingCenter.com offers SIE, Top-Off, and Series 6, 7, 63, 65, and other FINRA securities licensing courses via Instructor-led, online, and self-study courses throughout the United States.

These courses provide the key terms and information that you need to know to pass your FINRA securites licensing exam. You can see all available courses for your state either by clicking your license type or using the search box above. Alternatively, we have provided a quick list of some of the best-selling licenses in key states below. However you decide to find your training course, good luck!

Good luck passing your FINRA exams!

Related Links

Below are links that can assist you with better understanding the requirements for FINRA exams:

Again, good luck earning your FINRA Securities License!