Courses

Securities Industry Essentials (SIE) Examination 

All Securities Representatives must take and pass the Securities Industry Essentials (SIE) exam.  This exam is a broad exam that covers investment industry rules, regulations and general practices.  There are no prerequisites for this exam and anyone may schedule the exam. Candidates do not need to be sponsored by a FINRA (Broker-Dealer) member.

All candidates must take the Securities Industry Essentials (SIE) exam AND the Series 6 or 7 to sell mutual funds or variable annuities.  Candidates may take the SIE and Series 6 or 7 in any order, keeping in mind that to take the Series 6 or 7 exam, candidates must be sponsored by a FINRA member.  We strongly suggest that candidates take and pass the SIE exam first because SIE content appears on the Series 6 and 7 exams.

The exam has 75 multiple choice questions, 70 percent (49) of which must be answered correctly to pass. There are also 10 additional “pre-test” questions that do not count for or against the candidate.

Adviser Test Prep’s video course features 31 fully-illustrated video sessions (some are very short) that cover every exam topic. It includes

• A comprehensive print-at-home outline
• 24/7 Mobile-friendly access (no additional cost!)
• Session review quizzes
• End-Session Question Review
• Advanced test-taking strategies
• NOW FEATURING the Adviser Test Prep Guarantee! An industry first.  Get a 1-hour Online Custom Coaching Session at no cost before your exam: you set the agenda. 

In addition, the course features dozens of questions that are “x-rayed” to give you the confidence you want to pass on your first attempt!

Register for the Securities Industry Essentials Online Course now or see our Live Classes.

Series 6 Top-Off: Investment Company Variable Contract Products Limited Representative Examination 

Series 7: General Securities Representative Examination

This exam is required for candidates who want to sell all types of securities, including stocks, bonds, mutual funds, variable annuity products, options, commodities, futures, ETFs, REITS and more. Currently, there are no prerequisites to take this exam, but candidates must be sponsored by a FINRA member firm.  Also, candidates must pass the SIE Exam before they can sell.  (Recommended: Pass the SIE Exam first, as Series 7 tests material contained in that exam.  If candidates are sponsored by a FINRA member and submit a U-4 Form, exams may be taken in any order).

Adviser Test Prep’s online class is being built now and will be ready soon. To be the first to know when it is ready, click the button below.  See our Live Classes now!

Series 26: Investment Company Variable Contract Products Principal Examination 

This exam is required for candidates who want to supervise Series 6 licensees (who sell mutual funds and variable annuity products). To take this exam, a candidate must first pass the SIE and the Series 6 or Series 7 exam and be sponsored by a FINRA member firm.

The exam has 110 questions of which 70 percent (77) must be answered correctly to pass. There are also 10 questions that are “pre-test” questions that do not count for or against the candidate.

Get your complete Series 26 Online course from our partner now.  Package includes a printed Exam Review textbook, online video sessions and an extensive Question Review quiz bank.

Have questions, need a Live, Instructor-led class or Live, Online class?  Email us at Coach@AdviserTestPrep.com or phone us at 719-278-3883

Series 63: Uniform Securities Agent State Law Examination 

This exam is required for candidates who want to sell securities in many states. Some states do not require this exam for residents who sell only in their state, but many States require the exam whether you sell in your resident State or other States.  Be sure to check with your Broker/Dealer. However, please know that candidates who sell in multiple states must pass this exam. There is currently no prerequisite to take this exam.

This exam tests material covered in Series 6 (or Series 7), so we recommend that candidates pass their Series 6 or Series 7 exam first. Candidates must be sponsored by a FINRA member firm to take this exam.

This is a NASAA exam and has 60 questions of which 72 percent (43) must be answered correctly to pass. There are also 5 additional “pre-test” questions that do not count for or against the candidate.

Adviser Test Prep’s Series 63 Online/On-Demand/Mobile-friendly course is your opportunity to pass on the first attempt.  Do not underestimate this exam’s difficulty!  Yes, it is short.  But the questions are challenging and the test time is not generous.  For the greatest chance to pass on the first attempt, you must 1) Read a Study Guide, 2) take Adviser Test Prep’s Series 63 Online/On-Demand/Mobile-friendly course and 3) take online quizzes until you consistently reach 80%.  For those reasons, be sure to purchase the Exam Review Study Guide and Question Review Bank.  Have questions, need a Live, instructor-led course or Live Online course – email us at Coach@AdviserTestPrep.com or phone us at 719-278-3883.

Series 65: Uniform Investment Adviser Law Examination 

The Series 65 exam is required for candidates who want to work for an Investment Advisor firm as an Investment Adviser Representative.

If you have Series 6, you take the Series 65 exam.  If you have Series 7, you will take the Series 66 exam.  Interestingly, the material is the same, but the Series 66 emphasizes the regulations more than Series 65.  Be sure to check with your Broker/Dealer so you study and take the right exam.

There is currently no prerequisite to take this exam.

In most cases, candidates must pass the SIE Exam as well and Series 65 tests material covered in the SIE.  The test also covers Series 6 (or Series 7), so we recommend that candidates pass their Series 6 or Series 7 exam first. 

This is a NASAA exam and has 130 questions of which 72 percent (94) must be answered correctly to pass. There are also 10 additional “pre-test” questions that do not count for or against the candidate. The candidate has 180 minutes to complete the exam.

Adviser Test Prep’s Series 65 Online/On-Demand/Mobile-friendly course is ready now! For your best chance to pass on the first attempt, 1) Read the Exam Review Study Guide, 2) watch Adviser Test Prep’s Series 65 Online/On-Demand/Mobile-Friendly course, and 3) take Practice Quizzes until you consistenty reach 80% success.  Have questions, need an Live-Instructor-led class or Live Online class?  Email us at Coach@AdviserTestPrep.com or phone us at 719-377-1125.

Series 66: Uniform Combined State Law Examination

This exam is required for candidates who want to work for an Investment Advisor firm as an Investment Adviser Representative. If you are Series 7 licensed, you will take Series 66.  If you are Series 6 licensed, you will take the Series 65 exam.  Interestingly, the material is the same, but Series 66 has more emphasis on Regulations.

Be sure to check with your firm to be sure this is the right exam!

There is currently no prerequisite to take this exam, but candidates must pass the SIE Exam. Series 66 tests material covered in Series 6 (or Series 7), so we recommend that candidates pass their SIE and Series 6 or Series 7 exam first. 

This is a NASAA exam and has 100 questions of which 73 percent (73) must be answered correctly to pass. There are also 10 additional “pre-test” questions that do not count for or against the candidate. The candidate has 150 minutes to complete the exam.

Adviser Test Prep’s Series 66 Online/On-Demand/Mobile-Friendly course is ready now! For your best chance to pass on the first attempt, you will need to purchase the Exam Review Study Guide and Practice Questions.  Then, 1) read the Exam Review Study Guide, 2) watch Adviser Test Prep’s Series 66 Online/On-Demand/Mobile-Friendly course and 3) take online practice quizzes until you consistently reach 80% success. 

Have questions, need a Live, Instructor-led class or Live Online class?  Email us at Coach@AdviserTestPrep.com or phone us at 719-278-3883.