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
Covers advisory practices and laws
- Who it’s for: Fee-based investment advisors
- Prerequisites: No SIE or firm sponsorship required
View Series 65 Exam Prep
Series 66
Combines Series 63 and 65 into one exam covering state laws, investment products, ethics, and portfolio management.
“I really liked this exam prep course because the examples were practical, the explanations made tough concepts easy to understand, and the pacing was just right.”
- 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.
– Mary B, New York Life
View 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
Get Your Free Series 7 Exam Guide
CFP
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.
- 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.
Explore CFP® Exam Prep
Insurance CE
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
- 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.
Explore 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
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
View the Catalog
Insurance CE
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
- 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.
Explore Insurance CE Courses
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.
- Who it’s for: Reps seeking to register and meet their state licensing requirement.
- Prerequisites: Typically paired with the SIE, Series 6, 7, 79
View Series 63 Exam Prep
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.
“Thanks for the phenomenal Series 6 course, your clear explanations and humor made the tough material easier to understand and actually enjoyable to study.”
- Who it’s for: Financial pros selling packaged investment products
- Prerequisites: SIE + firm sponsorship
– Ciara P, TD Wealth
Explore Series 6 Packages
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
Covers advisory practices and laws
View Series 65 Exam Prep
Series 66
Combines Series 63 and 65 into one exam covering state laws, investment products, ethics, and portfolio management.
“I really liked this exam prep course because the examples were practical, the explanations made tough concepts easy to understand, and the pacing was just right.”
– Mary B, New York Life
View 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
Get Your Free Series 7 Exam Guide
CFP
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.
Explore CFP® Exam Prep
Insurance CE
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
Explore 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
IAR CE
Continuing education required for Investment Adviser Representatives (IARs), covering products and practices plus ethics and professional responsibility.
Explore Our IAR CE Catalog
View the Catalog
Insurance CE
Continuing education required for Insurance Agents, covering products and practices plus ethics and professional responsibility.
Explore Insurance CE Courses
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.
View Series 63 Exam Prep
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.
“Thanks for the phenomenal Series 6 course, your clear explanations and humor made the tough material easier to understand and actually enjoyable to study.”
– Ciara P, TD Wealth
Explore Series 6 Packages