FINRA securities licensing products 

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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. Final exams are "tough" and our students say are more rigorous than the actual exam!

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

FINRA Exams
Series 3 Series 7 Series 14 Series 27 Series 32 Series 55
Series 4 Series 9/10 Series 24 Series 30 Series 51 Series 63
Series 6 Series 26 Series 31 Series 53 Series 65 Series 66
 

Here's a listing of the exam titles and what you do with them.  Representative licenses are listed first and then the Principal licenses.  If you're going to be a principal of a firm you, generally,  have to have the "rep" license too.

 

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.  It's required by the National Futures Association.
4Click here to order Series 3 Study Products

Series 6 Test Investment Company Products

     Become a registered representative specializing in mutual funds.  It's also required for those who sell variable annuities.
4Click here to order Series 6 Study Products

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.
 4Click here to order Series 7 Study Products

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.
 4Click here to order Series 11 Study Products

Series 31 Test  Futures Managed Funds Examination

     The Series 31 exam is required by the National Futures Association for those who want to sell managed futures products (and don't want to be a fully registered commodity futures broker).
 4Click here to order Series 31 Study Products

Series 32 Test  Limited Futures Exam - Regulations

     The Series 32 exam is required by the National Futures Association 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.
 4Click here to order Series 32 Study Products

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.
 4Click here to order Series Study 55 Products

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).
 4Click here to order Series Study 63 Products

Series 65 Exam  Uniform Investment Adviser Laws

     The Series 65 exam is for those who want to be Registered Investment Adviser representatives.
 4Click here to order Series 65 Study Products

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.
 4Click here to order Series 66 Study Products

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.
 4Click here to order Series 4 Study Products

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.
 4Click here to order Series  9 & 10 Study Products

Series 14 Test  NYSE  Compliance Officer

     The Series 14 exam is required by the New York Stock Exchange.  The Series 14 is for those having day-to-day compliance responsibilities for their respective firms or who supervise ten or more people engaged in compliance activities have the knowledge necessary to carry out their job responsibilities.
 4Click here to order Series 14 Study Products

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.
 4Click here to order Series 24 Study Products

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.
 4Click here to order Series Study Products

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.
 4Click here to order Series 27 Study Products

Series 30  Exam Branch Manager - Futures

     The Series 30 exam is required by the National Futures Association to be a Branch Manager of an office dealing in futures.
 4Click here to order Series 30 Study Products

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).
 4Click here to order Series 51 Study Products

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).
 4Click here to order Series 53 Study Products