Who it is for
People entering the securities industry, including students and career changers.
What you will learn
- Learn securities markets, products, risks, customer accounts and regulation tested on the SIE.
Free guide
Securities Licenses guide
Every Securities Licenses program at FinExPrep in one place: who each program is for, what you will learn and how long it takes.
- 6 programs
- PDF to keep
How to use this guide
Start with the program closest to your current role, then add the ones your next role asks for. Each entry below lists who the program is written for and the skills you leave with, so you can compare them side by side.
Who it is for
Candidates sponsored to become general securities representatives.
What you will learn
- Prepare for the Series 7 functions: finding customers, opening accounts, recommendations and handling transactions.
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Enter your email to read all 6 programs and save the guide as a PDF.
Who it is for
Securities agents who need state registration.
What you will learn
- Learn the Uniform Securities Act and state rules tested on the Series 63.
Who it is for
People preparing to work as investment adviser representatives.
What you will learn
- Prepare for economics, investment vehicles, client strategies and laws tested on the Series 65.
Who it is for
Securities agents who also act as investment adviser representatives.
What you will learn
- Prepare for the combined state law content tested on the Series 66.
Who it is for
Candidates for investment banking representative registration.
What you will learn
- Prepare for data collection, valuation, underwriting and M&A topics tested on the Series 79.