Courses

 
Securities License Training
Online – On-Demand Classes 
Entertaining sessions you’ll actually enjoy!

What If I Do Not Know The Exam I Need?

Ask Your Broker-Dealer or Agency Licensing Specialist 

Be sure to study for the right exam!  Your Broker-Dealer or Agency Licensing Specialist knows which exams are required for the products you will sell. 

What If I Do Not Have a Broker-Dealer or Agency?

We work with the finest professionals in the industry.    We can refer you to a Broker-Dealer or an Agency in your area that matches your career goals! E-mail us at Coach@advisertestprep.com or phone us at 719-278-3883.  Get started today!

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.

The test is called “Top-off” because all candidates must take the Securities Industry Essentials (SIE) exam AND the Series 6 to sell mutual funds or variable annuities.  Candidates may take the SIE and Series 6 in any order, keeping in mind that to take the Series 6 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 exam.

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

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 

 

This exam is required for candidates who want to sell mutual funds and variable annuity products. Currently, there are no prerequisites to take this exam, but candidates must be sponsored by a FINRA (Broker-Dealer) member.

The test is called “Top-off” because all candidates must take the Securities Industry Essentials (SIE) exam AND the Series 6 to sell mutual funds or variable annuities.  Candidates may take the SIE and Series 6 in any order, keeping in mind that to take the Series 6 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 exam.

The exam has 50 questions, 70 percent (35) of which 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 video course features 27 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

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 Series 6 Online Course now or see our Live Classes.

 

 

 

 

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.

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.

Adviser Test Prep’s online course 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 Class now.

 

Series 63: Uniform Securities Agent State Law Examination 

This exam is required for candidates who want to sell securities in many states. Many states do not require this exam for residents who sell only in their state. However, candidates who sell in multiple states must pass this exam. (Be sure to check your State’s requirements). There is currently no prerequisite to take this exam. However, 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 online course is under construction and will be ready soon. To be the first to know when the course is live, click the button below. See our Live Class now.

 

 

Series 65: Uniform Investment Adviser Law Examination 

This exam is required for candidates who want to work for an Investment Advisor firm as an Investment Adviser Representative. Be sure to check with your firm to be sure this is the right exam! There is currently no prerequisite to take this exam. However, 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.


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 online course is ready now.  Click here! Also, you can schedule a Live Class in your office click here.

 

 

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

There is currently no prerequisite to take this exam. However, 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.


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 online course is ready now! To start your course, CLICK HERE.  You can schedule a class in your office, click Live Class now!

 

More Features

Business Meeting Snip Crop

ONLINE - ON YOUR TIME

 Study on your computer or mobile device – anywhere – anytime.

Question Check Mark Clip Art

RESOURCES

Courses include custom questions, study aids, Flash Cards and more.  See your course!

Phone Rep

Personal Coach

Email your Coach or phone our Instructor team. You are never stuck!

Contact Us
Super Student 1

“…an amazing experience…utilizes all styles of learning and teaching methods to connect with everyone in the class no matter what their learning style….I would recommend this class to any one.” Andre Raymond, Fort Worth TX

Super Student 1

“…upbeat and interactive…not only connects with the text, but connects the learning to current events.” Brendan Dalley, St. George UT