Offered Securities Training Classes
SIE
The Securities Industry Essentials (SIE) exam assesses a candidate’s basic knowledge of the securities industry. The exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices. This exam is a prerequisite and must be passed prior to taking the Series 6 and does not require sponsorship from a financial services firm. CLICK HERE for more info on the SIE exam.
SERIES 6
This Series 6 will provide the essential knowledge around variable contracts and mutual funds and is a prerequisite to performing those functions as an employee of an investment company. Prior to taking the Series 6, individuals must take the Securities Industry Essentials (SIE) exam. This exam can be taken without sponsorship from a financial services firm. CLICK HERE for more info on the Series 6 exam.
SERIES 63
The Series 63 exam (the Uniform Securities State Law Examination) is an exam covering the legal and regulatory guidelines for those working within the financial services industry. CLICK HERE for more info on the Series 63 exam.
SERIES 26
The Series 26 exam (the Investment Company and Variable Contracts Products Principal Examination (IP)) assesses whether an individual possesses the knowledge to act as principal to supervise variable products and/or investment companies. It covers the rules & provisions applicable to supervision of companies registered under the Investment Company Act of 1940. CLICK HERE for more info on the Series 26 exam.
SERIES 65
The Series 65 exam (the NASAA Investment Advisers Law Examination) is a North American Securities Administrators Association (NASAA) exam administered by FINRA. The Uniform Investment Adviser Law Examination and the available study outline were developed by NASAA. The examination, called the Series 65 exam, is designed to qualify candidates as investment adviser representatives. The exam covers topics that have been determined to be necessary to understand in order to provide investment advice to clients. CLICK HERE for more info on the Series 65 exam.