6

Series 6 Exam

Mutual Fund and Annuity Representative
Completion of this exam allows you to conduct business in both investment company and variable contract products.
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7

Series 7 Exam

General Securities Representative
This exam focuses on the tools and concepts you need in order to buy/sell securities traded in the U.S.
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9/10

Series 9/10 Exam

General Securities Supervisor
You must complete both of these exams in order to supervise general sales activities.
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24

Series 24 Exam

General Securities Principal (GP)
Focuses on NASD regulations, brokerage office operations, and other supervisory concerns required in order for an individual to manage or supervise branch activities.
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26

Series 26 Exam

Investment Co/Variable Contracts
An exam required for an individual wishing to act as a principal for investment companies and annuity activities.
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55

Series 55 Exam

Equity Trader Limited Representative
Completion qualifies an individual to act as either a principal or agent in equity and convertible debt securities transactions.
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63

Series 63 Exam

Uniform Securities Agent State Law
Completion of this exam is necessary for you to solicit orders for any type of security in a specific state.
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65

Series 65 Exam

Uniform Investment Advisor Law Examination
An exam that qualifies a finance professional to become an investment advisor representative.
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66

Series 66 Exam

Uniform Combined State Law
Equivalent to a combination of both the Series 63 and Series 65 exams, completion of this exam will qualify an individual to register as an Investment Advisor Representative.
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