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Training for Insurance Professionals

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 the results.

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 advice)
● 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 the exam. 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!