Registered Representative Exams:

• Series 6 (Investment Company and Variable Contracts Products):
  Allows you to sell mutual funds, unit investment trusts, variable life insurance and variable annuities.* Exam preparation time is approximately 10-30 hours. Candidates must score 70% or better on 100 multiple-choice questions.
• Series 7 (General Securities):
  Allows you to sell all forms of investments. Exam preparation time is approximately 100 hours. Candidates must score 70% or better on 250 multiple-choice questions.
• Series 63 (“Blue Sky” Laws):
  Most states require a Series 63 registration in addition to the Series 6 or 7. The Series 63 is a single “blue sky” test that covers all states. Candidates must score 70% or better on 65 multiple-choice questions.

Registered Investment Advisor Exams:

• Series 65 (Uniform Investment Advisor Representative Law):
  This exam is designed to test a candidate’s knowledge of state and federal securities laws, regulations to investment advisors and their representatives and unethical business practices of investment advisors. It qualifies you, as an Investment Advisor Representative, to advise your clients, for a fee, on securities investments. Candidates must score 70% or better on 130 multiple-choice questions. *(Prerequisite Series 6.)
• Series 66 (Uniform Investment Advisor Representative Law)*:
  The Series 66 places you in compliance with state securities regulations and qualifies you, as an Investment Advisor Representative, to advise your clients, for a fee, on securities investments. This exam also covers the “Blue Sky” Laws (Series 63) Candidates must score 71% or better on 100 multiple-choice questions. *(Prerequisite Series 7.)

* Insurance Exams:
A life insurance license is required to offer insurance policies and annuities to your clients. Each state has unique requirements to obtaining a life insurance license and our Licensing and Registration Department will provide you with a step-by-step process to obtain a life insurance license in your state.