Category — FINRA Qualification Exams

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