Master Your FINRA Licensing Exams

SIE Entry

Securities Industry Essentials

Foundational knowledge of the securities industry required before any representative-level exam.

Series 7 Rep

General Securities Representative

Qualifies individuals to sell a broad range of securities products including stocks, bonds, and options.

Series 6 Rep

Investment Company / Variable Contracts

Qualifies individuals to sell mutual funds, variable annuities, and insurance premium products.

Series 63 Rep

Uniform Securities Agent State Law

Covers state securities regulations required for agents transacting business in most states.

Series 65 Rep

Uniform Investment Adviser Law

Qualifies individuals as investment adviser representatives under state securities law.

Series 66 Rep

Uniform Combined State Law

Combines Series 63 and 65 content for securities agents who also act as investment advisers.

Series 79 Rep

Investment Banking Representative

Qualifies individuals to advise on or facilitate debt and equity offerings and mergers and acquisitions.

Series 82 Rep

Private Securities Offerings

Qualifies individuals to sell private placement securities under Regulation D and other exemptions.

Series 86/87 Rep

Research Analyst

Two-part exam qualifying individuals to publish research reports and make recommendations on securities.

Series 99 Rep

Operations Professional

Qualifies individuals performing operations functions at a broker-dealer firm.

Series 52 Rep

Municipal Securities Representative

Qualifies individuals to transact business in municipal securities with public customers.

Series 50 Rep

Municipal Adviser Representative

Qualifies individuals to provide advice to municipal entities on bond issuances and investments.

Series 3 Rep

National Commodities Futures

Qualifies individuals to sell commodity futures contracts, options, and forex on behalf of clients.

Series 24 Principal

General Securities Principal

Qualifies individuals to manage or supervise a broker-dealer's investment banking or securities business.

Series 27 Principal

Financial and Operations Principal

Qualifies individuals to manage the financial and operational compliance of a broker-dealer firm.

Series 53 Principal

Municipal Securities Principal

Qualifies individuals to manage and supervise municipal securities activities at a broker-dealer.

Series 4 Principal

Registered Options Principal

Qualifies individuals to supervise a firm's options trading activities and compliance.

Series 9/10 Principal

General Securities Sales Supervisor

Two-part exam qualifying individuals to supervise sales activities at a general securities broker-dealer.