Securities Licensing Exam Prep | Financial Services Training | FINRA,NASD Licensing

Securities Licensing
Enhance Your Career With A Financial Services License! Are you seeking securities licensing, such as the Series 7 license or Series 6 license, to enhance your career? Maybe you need securities exam prep for the Series 65 license or Series 66 license to act as an Investment Advisor Representative? Perhaps financial services training is desired to become a Registered Principal by passing the Series 9 exam, Series 10 exam, Series 24 exam or Series 26 exam? We can help! Bank Training Center provides numerous securities exam prep courses - such as Securities Licensing Seminars, Online Securities Licensing Courses, or Self-Study Packages - to help you pass your securities licensing exam and earn your securities license. Available Securities License Training Courses We offer securities training for each of the following securities licenses, often in seminar, online, and self-study formats. Securities Industry Essentials (SIE) Examination The SIE Exam is an introductory-level exam for prospective industry professionals. Its purpose is to assess a candidate's basic knowledge of securities industry topics fundamental to working in the industry. Series 3: National Commodities Futures Examination The Series 3 securities license allows a financial professional to sell both commodity futures contracts and options on commodity futures contracts. Series 4: Registered Options Principal The Series 4 is an exam and securities license entitling the holder to supervise options sales personnel and compliance issues. Series 6: Investment Company Products/Variable Contract Representative The Series 6 is a securities license entitling the holder to register as a company's representative and sell mutual funds, variable annuities and insurance. Series 7: General Securities Representative The Series 7 is an exam and license that entitles the holder to sell all types of securities products except commodities and futures. Series 9/10: General Securities Sales Supervisor The Series 9/10 are FINRA exams required for individuals to supervise sales activities at a general securities-oriented branch office. Series 24: General Securities Principal The Series 24 is an exam and license entitling the holder to supervise and manage branch activities as an entry-level securities principal. Series 26: Investment Company Products/Variable Contracts Limited Principal The Series 26 is a securities exam and license entitling the holder to supervise those who sell mutual funds, variable annuities, and variable life insurance. Series 27: Financial and Operations Principal The Series 27 is a securities license entitling the holder to prepare and manage the books and recordkeeping of a FINRA member firm. Series 63: Uniform Securities Agent State Law Exam The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. Series 65: Uniform Investment Advisor Law Examination The Series 65 is an exam and securities license required for individuals to act as investment advisers in the U.S. Series 66: Uniform Combined State Law Examination The Series 66 is an exam and license that is meant to qualify individuals as investment advisor representatives or securities agents. Series 79: Investment Banking Representative Exam The Series 79 determines if a registered representative has acquired the knowledge, skill, and ethics to become an investment banker. Series 99: Operations Professional Examination The Series 99 allows representatives to register with FINRA to offer advice or facilitate activities under FINRA Rule 1230(b)(6). Related Links Below are links to our sister website, ABTrainingCenter.com, that can assist you with better understanding the requirements for FINRA exams: How To Pass Your FINRA Licensing Exam And Earn Your Securities License FINRA Exam Prep Materials And Study Guides For Earning Your Securities License Stock Broker Licensing: How To Become A Stockbroker / Registered Representative Good luck earning your FINRA Securities License! Find Financial Services Securities License Training Courses In Your State To find training for earning your securities license, simply select your desired license type from above, or under the "Licensing" section of the search box below.
Find Seminars, Webinars, And Online Training In Your Area Licensing Earn your License quickly and easily! Designations / Certifications Improve your knowledge and industry standing! Professional Development Products & Services to help manage and grow your career!
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Securities Licensing

Enhance Your Career With A Financial Services License!

Find Financial Services Securities License Training Courses In Your State