The SIE, Securities Industry Essential, Exam, is the first exam most people take in the securities industry. It covers a wide range of materials, but doesn’t go that deep into any of them. We have a lot of experience in preparing people of all levels to pass the SIE exam.
The Series 6, the Series 6 Top Off, and the Top Off Series 6, are all the same test. They are required after the SIE (Securities Industry Essentials) Exam, in order to act as a Limited Representative for Investment Company Products, and allows the sale of Mutual Funds, and Variable Annuities.
The Series 63 is the State license, required in most states and territories (All except CO, DC, FL, LA, MD, and PR), to solicit and sell Securities in those locations. It requires holding a Representative License, like a 6 or 7, or similar license to actually be able to use the Series 63.