The SIE is the Securities Industries Essential Exam. It covers all the material people need when starting out in the process of becoming a registered representative. We have multiple options for people studying for the SIE exam.
The Series 63 is a license required by most states and territories (All except CO, FL, LA, MD, PR, and DC), to solicit and sell Securities. It requires holding a Series 6, Series 7, or similar license to be able to use.
The Series 65 exam also known as the Uniform Investment Adviser Law Examination, covers laws, regulations, ethics and other topics like retirement planning and the fiduciary duty. It is required to be an Investment Adviser or Investment Adviser Representative. It allows charging fees for managing money and is needed to sell most Managed Accounts.
The Series 26 is the Limited Principal exam for overseeing Investment Company Products, such as Mutual Funds and Variable Annuities. It covers ethics, supervision, representative oversight, and other topics required to be a Principal at a FINRA Member Firm.