Want to become a stockbroker? Or are studying for the Series 7 exam? Below you will find FREE access to FINRA quizzers.
Series 6
Upon successful completion of the Series 6, an individual will have the qualifications needed to sell mutual funds and variable annuities.
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Series 7
This exam is one of the steps necessary in order for a member firm associate to register with FINRA. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA.
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Series 65
Completion of the Series 65 Exam will qualify an investment professional to operate as an Investment Advisor Representative in certain states. The exam focuses on topic areas that are important for an investment advisor to know when providing investment advice. These areas include topics such as retirement planning, portfolio management strategies, and fiduciary obligations.
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Series 66
Successful completion of the Series 66 exam is equivalent to the successful completion of both the Series 63 and Series 65 exams. It is required by certain states in America, (in addition to successful completion of the Series 7) in order for an investment professional to qualify for registration as an Investment Advisor Representative.
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Series 63
Completion of the Series 63 exam will entitle an individual with the qualifications necessary to become a limited registered representative who solicits orders for corporate debt and equity securities such as common and preferred stock, bonds, warrants, and more.
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Series 3
The National Futures Association (NFA) requires an individual to successfully complete the Series 3 in order to become qualified to sell commodities or futures contracts.
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