The Series 6 Exam, also known as the Investment Companies/Variable Annuities Exam, is a limited license for candidates wanting to sell only investment company shares and variable annuities. Click here to order.
The Series 7 Exam, also known as the General Securities Exam, licenses candidates to sell all types of securities (stocks, bonds, mutual funds, etc.) for Financial Industry Regulatory Authority (FINRA) member firms. In conjunction with the Series 3 license or the Series 31 license, Series 7 licensed brokers may also collect the trailing commissions on sales of futures funds. Click here to order.
The Series 7 Exam, also known as the General Securities Exam, licenses candidates to sell all types of securities (stocks, bonds, mutual funds, etc.) for Financial Industry Regulatory Authority (FINRA) member firms. In conjunction with the Series 3 license or the Series 31 license, Series 7 licensed brokers may also collect the trailing commissions on sales of futures funds. Click here to order.
