Securities Exam Prep
Securities exams are long and intense. You’ve most likely heard horror stories from other
licensed professionals about their own experiences in obtaining the securities licensing. Some
people pass easily while other people find themselves struggling to get close to a passing score.
The best way to prepare for an exam like this is to participate in a securities exam prep course.
There are courses available for just about any securities exam out there – you just need to find
Types of Securities Exams
There are many people out there who only think of securities 6 & 7 licenses but there are quite
a few others as well. These might be the most common but a lot of times those need to be
paired with other licenses.
There are cases where a different type of securities license might also meet your needs or give
you additional advancement in specialty fields. Here are the securities licensing options.
● Series 6 – mutual funds, annuities, and insurance
● Series 7 – Series 6 plus securities and options
● Series 9 – general securities sales supervisor – Options
● Series 10 – general securities sales supervisor
● Series 24 – general securities principal
● Series 26 – Investment company and variable contracts products principal
● Series 52 – allows municipal securities transactions
● Series 53 – supervise municipal bond sales and trading
● Series 63 – securities exam entitlement to hold license to a specific state
● Series 65 – Uniform Investment Adviser (may provide investing and general finance
● Series 66 – investment advisor representative or securities agents
● Series 99 – operations professional
As you can see there are many different licensing exams to consider. Which ones you need may
very well depend on what you are doing.
For example, an Investment Advisor will most likely need both the Series 7 and the Series 65
paired together to be able to do their duties. An insurance sales person may only need the
Series 6 to accommodate insurance and annuities.
The typical investment representative at your local firm may hold a Series 7 and a Series 63.
There are many times you will need to have a pair of licenses in order to practice. For example,
a Series 7 gives you license to transact with securities but it doesn’t allow you to be registered
within specific states so it is typically paired with the 63 but may also be paired with a 65 or
something along those lines as well.
Planning for Securities Exam Prep
You can take care of your securities exam prep in whatever fashion you feel best fits your
needs. You may prefer in-classroom training or perhaps a self-study course. Choose what works
for your learning abilities.
Most securities exam prep courses are designed to prepare you for the specific exam. They are
often set up as crash courses, designed to make sure you learn the material you need to pass
Look for courses that will offer you practice exams and have high rates of success with past
clients. Most exam prep training schools will share details of their passing rates and will have
several options available to help you find what is right for you.
If you’d like, please feel free to take a look at our class schedule to purchase or schedule your classes today!