Securities Licensing Courses

WebSeries7 offers a full line of FINRA securities licensing products.

These study programs are geared for the self-study student. Unique page formatting accompanied with frequent quizzes lets you know the key concepts involved in passing the test.

Click here to go to the On-Line University -- for the Series 6, 7, 24, 26, 63, 65, and 66-- and click on Securities and Futures Prep. For other exams refer to the table at the bottom of the page.

Registered Representative Licenses:

Series 3 Exam Commodity Futures

The Series 3 is for those who want to be a futures broker ("Associated Person") to take orders from clients on futures contracts, options on futures contracts, and foreign exchange.  Also to become a Commodity Trading Advisor or Commodity Pool Operator. 

Series 6 Test Investment Company Products

Become a registered representative specializing in mutual funds.  It's also required for those who sell variable annuities.

Series 7 License   General Securities Representative

The Series 7 is the most comprehensive securities license for a registered rep.  It allows the rep to purchase, and/or sell all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.

Series 11 Exam   Assistant Representative - Order Processing

This exam is for persons associated with a member who accept unsolicited customer orders.  They cannot accept orders for municipal securities or direct participation programs.

Series 30  Exam Branch Manager - Futures

The Series 30 exam is required to be a Branch Manager of an office dealing in futures.

Series 31 Test  Futures Managed Funds Examination

The Series 31 exam is required for those who want to sell managed futures products (and don't want to be a fully registered commodity futures broker).

Series 32 Test  Limited Futures Exam - Regulations

The Series 32 exam is required for representatives in the U.K. who are registered futures brokers in the U.K. and also want to be registered in the U.S.   It just covers U.S. rules and regulations

Series 34 Exam Retail Off-Exchange Forex Examination

The Series 34 exam is required for those individuals who work with retail customers in off-exchange forex business.

Series 55 Exam  Equity Trader Limited Representative

Registered rep in this capacity may trade equity and convertible debt securities on a principal or agency basis.

Series 63 License  Uniform Securities Agent State Laws

The Series 63 exam tests on state securities regulation listed in the Uniform Securities Act.  Most of the states require this for registration in addition to the other exams (e.g., Series 7).

Series 65 Exam  Uniform Investment Adviser Laws

The Series 65 exam is for those who want to be Registered Investment Adviser representatives.

Series 66 Test Uniform Investment Adviser and State Law Examination

The Series 66 exam qualifies a rep as both a securities agent and an investment adviser representative in one test.   You have to have passed the Series 7 exam first, though, before you can register with a state.

Registered Principal Licenses:

Series 4 Exam Registered Options Principal

This examination is for an individual who will function as a registered options principal of a securities broker/dealer.

Series 9 and 10 Exams General Securities Sales Supervisor

This registration is for those who will supervise sales activities in corporate, municipal, and options securities, investment company products, variable contracts, and direct participation programs for an NYSE member firm.

Series 24 Exam  General Securities Principal

This examination is for those who manage or supervise the member's investment banking or securities business for corporate securities, direct participation programs, and investment company products/variable contracts.

Series 26 Test  Investment Company Products/Variable Contracts Limited Principal

This exam is for those who act as a principal for the solicitation, purchase, and/or sale of redeemable securities of open and closed-end mutual funds and variable contracts and insurance premium funding programs and other contracts issued by an insurance company.

Series 27 Exam Financial and Operations Principal

The Series 27 test's a candidate's knowledge and understanding of financial responsibility rules and recordkeeping requirements.  It's for those who prepare the FOCUS reports for a brokerage firm.

Series 51 Test  Municipal Fund Securities Principal

The Series 51 exam is for those selling municipal fund securities relating to 529 College Savings Plans and Local Government Investment Pools (LGIPs).

Series 53 Exam  Municipal Securities Principal

This exam is for those who act as a municipal securities principal and for those who supervise municipal securities reps.  This exam also enables the principal to supervise municipal fund securities, for example,  529 College Savings Plans and Local Government Investment Pools (LGIPs).

Click on the course to see the study program details and order: