Your Securities Licensing Journey
Become a financial advisor in a retail brokerage
START HERE
SIE
(Securities Industry Essentials)
Info
Become a Financial Advisor who specializes in the sales of mutual funds and mutual funds products
Become a Financial Advisor at a full-service broker dealer
Series 6
Series 7
Info
Info
Series 66
Series 63
Info
Info
Most professionals are encouraged to get Life, Health, and Accident License next
Series 65
Info
Insurance CE
Insurance CE
IAR CE
Info
Info
Info
Make yourself stand out with professional designations
CFP
Info
Series 65
Considering the Series 65?
Series 65 is a NASAA licensing exam required for individuals seeking to register and meet their state investment adviser representative licensing requirement and provide advisory services. This exam is frequently combined with the SIE, Series 6 and 7. Covers advisory practices and laws
The Series 65 exam, formally known as the Uniform Investment Adviser Law Exam, is required by most states to legally offer financial advice for a fee. Let’s break down what the Series 65 covers, the exam format, and how to study to prepare for success.
- Who it’s for: Fee-based investment advisors
- Prerequisites: No SIE or firm sponsorship required
Learn About the Series 65 Exam
Shop Series 65 Exam Prep
Series 66
Combines Series 63 and 65 into one exam covering state laws, investment products, ethics, and portfolio management.
Considering the Series 66?
The Series 66 license may be your next smart move. What is the Series 66, how hard is it to pass, and what should you expect when preparing for the exam? Let’s break it down, so you can move forward with confidence.
- Who it’s for: Financial pros with a Series 7 who want both securities agent and investment adviser registration.
- Prerequisites: Must hold the Series 7 license; firm sponsorship required.
Learn About the Series 66 Exam
Shop Series 66 Exam Prep
Series 7
The Series 7 exam is the full-service license for selling stocks, bonds, options, and other securities. It qualifies reps to work with a broad range of investment products and ensures they understand key trading, regulations, and client suitability.
- Who it’s for: Brokers and financial advisors
- Prerequisites: SIE + firm sponsorship
Conquer the Series 7 Exam
Shop Series 7 Exam Prep
Get Your Free Series 7 Exam Guide
CFP
Considering a CFP® Certification?
The CERTIFIED FINANCIAL PLANNER® (CFP®) certification is the gold standard credential in financial planning, building your credibility, attracting more clients, and ultimately boosting your career in the financial advisory field.
The CFP® mark is recognized worldwide as the gold standard in financial planning, and it sets you apart as someone who has the expertise, ethics, and credibility to guide individuals and organizations toward their financial goals. Let’s break down why achieving CFP® certification can take your career to new heights.
- Who it’s for: Reps looking to elevate their knowledge and skills, allowing them to provide better advice and guidance to clients and helping them secure stronger outcomes for their future.
- Prerequisites: Complete a CFP Board-registered education program. The CFP Board verifies completion. A bachelor’s degree is required before or within 5 years of passing the exam.
Learn About CFP® Certification
Shop CFP® Exam Prep
Insurance CE
Understanding Insurance CE Requirements
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
The rules for CE credits vary significantly by state, line of authority and license type, making compliance a complex task. Let’s break down what CE credits are and why they are so important for license renewal.
- Who it’s for: Insurance Agents who need to meet state-mandated CE obligations.
- Prerequisites: Must be registered as an Insurance Agent with a state regulator.
Learn About Insurance CE
Shop Insurance CE Courses
SIE (Securities Industry Essentials)
Foundational FINRA exam for anyone entering the industry. Covers basic knowledge of investment products, markets, and regulations.
- Who it’s for: All aspiring securities reps (required before taking any top-off exams).
- Prerequisites: None. It can be taken without firm sponsorship.
Master the SIE with Confidence
Download the Free SIE Exam Guide
Shop SIE Exam Prep
IAR CE
Continuing education required for Investment Adviser Representatives (IARs), covering products and practices plus ethics and professional responsibility.
- Who it’s for: Registered Investment Adviser Representatives who need to meet state-mandated CE obligations.
- Prerequisites: Must be registered as an IAR with a state regulator.
Explore Our IAR CE Catalog
Shop IAR CE Courses
View the Catalog
Insurance CE
Understanding Insurance CE Requirements
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
The rules for CE credits vary significantly by state, line of authority and license type, making compliance a complex task. Let’s break down what CE credits are and why they are so important for license renewal.
- Who it’s for: Insurance Agents who need to meet state-mandated CE obligations.
- Prerequisites: Must be registered as an Insurance Agent with a state regulator.
Learn About Insurance CE
Shop Insurance CE Courses
Series 63
Considering the Series 63?
The Series 63 is a NASAA licensing exam that covers state securities regulations, often called ‘blue sky laws,’ and is required for representatives in most U.S. states. It ensures reps understand ethical practices and state-level compliance responsibilities.
Earning your Series 63 license provides the ultimate green light to expand your practice nationwide. Let’s break down what the Series 63 entails, how the test is structured, the prerequisites you need, and the massive career benefits you secure once you pass.
- Who it’s for: Reps seeking to register and meet their state licensing requirement.
- Prerequisites: Typically paired with the SIE, Series 6, 7, 79
Learn About the Series 63 Exam
Shop Series 63 Exam Prep
Series 6
Considering the Series 6?
The Series 6 exam covers mutual funds, variable annuities, and insurance-related products. It qualifies reps to sell packaged investment products and ensures they understand the basics of securities and client suitability.
If you want to focus on products that are generally more secure and involve minimal levels of speculation, like mutual funds and variable products, you will need to pass the Series 6 exam. Let’s break down what the Series 6 is, why you need it, and how to get it.
- Who it’s for: Financial pros selling packaged investment products
- Prerequisites: SIE + firm sponsorship
Learn About the Series 6 Exam
Shop Series 6 Exam Prep
Your Securities Licensing Journey
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Transcript
Your Securities Licensing Journey
Become a financial advisor in a retail brokerage
START HERE
SIE
(Securities Industry Essentials)
Info
Become a Financial Advisor who specializes in the sales of mutual funds and mutual funds products
Become a Financial Advisor at a full-service broker dealer
Series 6
Series 7
Info
Info
Series 66
Series 63
Info
Info
Most professionals are encouraged to get Life, Health, and Accident License next
Series 65
Info
Insurance CE
Insurance CE
IAR CE
Info
Info
Info
Make yourself stand out with professional designations
CFP
Info
Series 65
Considering the Series 65?
Series 65 is a NASAA licensing exam required for individuals seeking to register and meet their state investment adviser representative licensing requirement and provide advisory services. This exam is frequently combined with the SIE, Series 6 and 7. Covers advisory practices and laws
The Series 65 exam, formally known as the Uniform Investment Adviser Law Exam, is required by most states to legally offer financial advice for a fee. Let’s break down what the Series 65 covers, the exam format, and how to study to prepare for success.
Learn About the Series 65 Exam
Shop Series 65 Exam Prep
Series 66
Combines Series 63 and 65 into one exam covering state laws, investment products, ethics, and portfolio management.
Considering the Series 66?
The Series 66 license may be your next smart move. What is the Series 66, how hard is it to pass, and what should you expect when preparing for the exam? Let’s break it down, so you can move forward with confidence.
Learn About the Series 66 Exam
Shop Series 66 Exam Prep
Series 7
The Series 7 exam is the full-service license for selling stocks, bonds, options, and other securities. It qualifies reps to work with a broad range of investment products and ensures they understand key trading, regulations, and client suitability.
Conquer the Series 7 Exam
Shop Series 7 Exam Prep
Get Your Free Series 7 Exam Guide
CFP
Considering a CFP® Certification?
The CERTIFIED FINANCIAL PLANNER® (CFP®) certification is the gold standard credential in financial planning, building your credibility, attracting more clients, and ultimately boosting your career in the financial advisory field.
The CFP® mark is recognized worldwide as the gold standard in financial planning, and it sets you apart as someone who has the expertise, ethics, and credibility to guide individuals and organizations toward their financial goals. Let’s break down why achieving CFP® certification can take your career to new heights.
Learn About CFP® Certification
Shop CFP® Exam Prep
Insurance CE
Understanding Insurance CE Requirements
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
The rules for CE credits vary significantly by state, line of authority and license type, making compliance a complex task. Let’s break down what CE credits are and why they are so important for license renewal.
Learn About Insurance CE
Shop Insurance CE Courses
SIE (Securities Industry Essentials)
Foundational FINRA exam for anyone entering the industry. Covers basic knowledge of investment products, markets, and regulations.
Master the SIE with Confidence
Download the Free SIE Exam Guide
Shop SIE Exam Prep
IAR CE
Continuing education required for Investment Adviser Representatives (IARs), covering products and practices plus ethics and professional responsibility.
Explore Our IAR CE Catalog
Shop IAR CE Courses
View the Catalog
Insurance CE
Understanding Insurance CE Requirements
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
The rules for CE credits vary significantly by state, line of authority and license type, making compliance a complex task. Let’s break down what CE credits are and why they are so important for license renewal.
Learn About Insurance CE
Shop Insurance CE Courses
Series 63
Considering the Series 63?
The Series 63 is a NASAA licensing exam that covers state securities regulations, often called ‘blue sky laws,’ and is required for representatives in most U.S. states. It ensures reps understand ethical practices and state-level compliance responsibilities.
Earning your Series 63 license provides the ultimate green light to expand your practice nationwide. Let’s break down what the Series 63 entails, how the test is structured, the prerequisites you need, and the massive career benefits you secure once you pass.
Learn About the Series 63 Exam
Shop Series 63 Exam Prep
Series 6
Considering the Series 6?
The Series 6 exam covers mutual funds, variable annuities, and insurance-related products. It qualifies reps to sell packaged investment products and ensures they understand the basics of securities and client suitability.
If you want to focus on products that are generally more secure and involve minimal levels of speculation, like mutual funds and variable products, you will need to pass the Series 6 exam. Let’s break down what the Series 6 is, why you need it, and how to get it.
Learn About the Series 6 Exam
Shop Series 6 Exam Prep