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Series 11 License

Searching for Series 11 training and help passing your Series 11 exam? Then you've come to the right place!

A Series 11 Assistant Representative/Order Processing license qualifies an individual associated with a FINRA member firm to accept unsolicited telephone orders and give quotes to customers. offers Series 11 books, CDs, and other Series 11 training materials to help individuals pass the Series 11 exam and earn a Series 11 license.

Recommended Courses & Available Training Options

To find training for earning your Series 11 license, simply click on any of the recommended courses below, or search under "Licensing/Designations" in the search box thereafter for "Series 11".

Good luck earning your license!

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About The SIE: Exam Requirements And Information

The SIE is an introductory-level exam that assesses a candidate's knowledge of basic securities industry information and concepts fundamental to working in the industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices.

The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

There are no pre-requisites to taking the Securities Industry Essentials Exam, and once you pass your SIE exam, you have one full year to study for and pass your Series 7 exam.

About The Series 7: Exam Requirements And Information

The FINRA Series 7 Licensing exam tests your knowledge about buying and selling securities products, options, investment company products, and more. The exam covers the following major topics:
  • Equity and Debt Securities
  • Options and Derivatives
  • Retirement Plans and Investment Companies
  • Regulations
  • Taxation
Candidates have three hours and 45 minutes to answer all 135 multiple-choice exam questions, which includes 10 additional questions that don't contribute to the score. Each has four possible choices.

You'll be qualified as a stockbroker upon passing your Series 7 exam, with covered activities and products including:
  • Direct participation programs
  • Government securities
  • Hedge funds
  • Money market funds
  • Municipal securities sales
  • Mutual funds
  • Rights
  • Venture capital
  • Warrants
How To Get A Series 7 License

Candidates must take several steps before receiving their Series 7 license and becoming a stockbroker. You can do many of these at your own pace, so you can work toward your Series 7 license on a timeline that works for your needs. Steps include:
  • Prepare for and Take the SIE

    The SIE is a new exam designed by FINRA to reduce subject matter redundancy between current Series exams. Questions on the SIE exam test your general knowledge of financial activities.

    You can choose to take the SIE either before or after your Top Off exam. However, many people find it much easier to obtain sponsorship — a required step before registering for the Series 7 exam — after they've passed their SIE exam.
  • Obtain a Sponsorship by a FINRA Member Firm

    Before you can register for your Series 7 exam, FINRA requires you to be associated with and sponsored by a FINRA or self-regulatory organization member firm. Your firm will register you for the exam by filling out a Form U4 (Uniform Application for Securities Industry Registration or Transfer Form) through the FINRA website. At this time, you'll be fingerprinted and undergo a background check.
  • Study for the Series 7 Exam

    After your sponsorship, you can start studying to take your Series 7 Top Off exam, either before or after passing your SIE. It covers numerous topics related to a stockbroker's four main job functions. To ace your exam, you'll need a comprehensive study plan that accounts for each of its four aspects. At AB Training Center, we provide all the tools and support necessary for outstanding success, including live and online seminars, online study guides, practice tests, printed materials and more.
  • Pass the Exam to Receive Your Series 7 Licence

    You'll need a score of 72 percent or better to pass your Series 7 exam and receive your license.
Choose For Your Series 7 License Prep

If you're ready to prepare for a prosperous future as a stockbroker, AB Training Center offers you the tools you need for success on your SIE and Series 7 exams.

Since 1994, we've helped thousands of rising financial professionals across the country ace their Series exams and find ongoing success and enjoyment in their profession. We've teamed with industry leaders like Kaplan Financial to offer numerous affordable course options to meet your needs.

Get the tools you need to ace your Series 7 exam. Contact us today for more information, or click on the available courses above to enroll in your SIE and Series 7 prep.

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