SIE

The Securities Industry Essential (SIE) Exam is the first exam representatives have to take.
The SIE assesses the candidate’s basic knowledge of the Securities Industry.
Focus is on Terminology, Products, Structure, and Function of the Markets, Regulations and the Regulatory Agencies responsible for them, and Unethical and Prohibited Practices.
This exam is required before any other exams, usually the Series 6.
No Sponsorship required.
CLICK HERE for more info on the SIE exam.

Series 6

The Series 6 (top off) provides the Essential Knowledge around the Investment Company and Variable Products representatives will primarily sell.
This is the “Investment Company and Variable Products Limited Representative License”.
Focus is on Open/Closed end Funds, Variable Annuities, and Suitability, with a Secondary focus on Taxation and Communications.
To use the Series 6, you must have the SIE as well, and that should be completed before you start on the Series 6. (You should not try and study for 2 or more exams at once)
This exam requires sponsorship from a FINRA Members Firm.
CLICK HERE for more info on the Series 6 exam.

The Series 63 Exam is a test on the Uniform Securities Act, the State Law Exam.
Focus is on State Registrations of Securities and Advisors, along with very detailed vocabulary.
It is required to register as a Registered Representative in 45 states.
It is advised to consider it in all states, in case you can get business in any state requiring it.
CLICK HERE for more info on the Series 63 exam.

The Series 26 exam assesses the candidate’s knowledge to act as a principal and supervise the sale of Investment Company Securities and Variable Insurance Products.
This is the “Investment Company and Variable Products Limited Principal License”.
Focus is on Rules and Provisions relating to securities sales and supervision, FINRA forms, and specific dates and times for filing requirements.
CLICK HERE for more info on the Series 26 exam.

The Series 65 exam is the Uniform Investment Advisor Law Exam, and required to be an Investment Advisor.
Focus is on Investment Advising, Products, Recommendations, State and Federal Registrations, Analysis of Returns, and Portfolios, along with several other topics. Of all the exams, the 65 is the largest.
This exam is required if you want the title of Investment Advisor Representative.
CLICK HERE for more info on the Series 65 exam.

Explain how to track your reps through the Kaplan system and discuss the system your reps should be following.
Explain the time and score goals before taking the FINRA exams
Explain what your reps are being taught by us and the system they should follow
Go over “At Risk Reports” so RVPs or their Office/Training Managers can help follow and assist students.