Series 7, SIE & Series 66 exam prepExam prep
Pass the Series 65 on your first attempt. Built around where NASAA weights the Investment Adviser Law exam — laws and ethics and client recommendations — with full-length practice exams and chapter-level readiness tracking.
130 scored questions · 3 hr · passing score 72 · no firm sponsorship required
Format per the official FINRA / NASAA specifications — confirm current details with the administrator before scheduling.
The Series 65 — the Uniform Investment Adviser Law Examination — qualifies you to give investment advice for a fee as an Investment Adviser Representative, and unlike the Series 7 it needs no firm sponsorship, so you can sit it on your own. NASAA weights it heavily toward laws, regulations and ethics and toward client recommendations and strategies, with investment-vehicle characteristics and economic factors filling out the rest.
Our Series 65 bank leans where the exam leans. Fiduciary duty, the Investment Advisers Act and state rules, portfolio and retirement-planning recommendations, and the analytics behind them are drilled until the distinctions are automatic — every question mapped to its exact NASAA topic so your readiness score shows, area by area, when you are ready.
Every question with a written explanation so you learn why.
Build practice sets by topic, or drill the questions you missed.
See your accuracy by chapter and a clear readiness score.
A schedule built around your exam date and the days you study.
Readable lessons mapped to the official exam outline.
Your score history is saved, and missed questions are one click from a re-drill.
Why it matters
In the securities industry, the right FINRA registration is more than a line on a resume. For many roles it is a legal requirement: you generally cannot be paid to recommend or sell securities without the appropriate registration, which is why broker-dealers and advisory firms hire, register and promote around these exams. Passing them is how you get in the door — and how you move up once you are.
The Securities Industry Essentials exam is the entry point to the industry. You can sit for it without a job offer or firm sponsorship, and most firms expect it before they will register you for a representative-level exam. On its own it does not qualify you to transact business — it is the first rung on the ladder.1
The General Securities Representative license. Passing it alongside the SIE qualifies you to sell a broad range of securities products as a registered representative — the core license behind most stockbroker and registered-rep roles. It requires sponsorship by a FINRA-member firm.2
Taken with the Series 7, the Series 66 qualifies you at the state level as both a securities agent and an Investment Adviser Representative (IAR) — the registrations behind many financial-advisor and wealth-management roles.2
Two state-law exams round out the path: the Series 63 (Uniform Securities Agent State Law), commonly taken with the Series 7 to register as an agent at the state level, and the Series 65 (Investment Adviser Law), which qualifies you as an Investment Adviser Representative with no firm sponsorship required.
Buys and sells securities for clients at a broker-dealer — the classic Series 7 role.
Helps individuals and families plan and invest toward their long-term goals.
Gives investment advice for a fee under a registered adviser — tied to the Series 65 or Series 66.
Registered to transact securities business at the state level — tied to the Series 63.
Works with higher-net-worth clients on investments and long-term planning.
Supports a licensed team and manages client relationships — often a first registered role.
Behind-the-scenes work in trading support, operations and client service that expects registration.
Pay varies widely by employer, location, experience and commission structure. The national figures below describe the occupations these licenses are associated with — they are context, not a promise of income.7
Commonly held with: SIE + Series 7
$78,140
U.S. median annual wage, May 2024
The field spans roughly $47,000 to more than $215,000 a year, because much of the pay is commission-based. Employment is projected to grow about 3% through 2034, with around 38,100 openings a year.3
Commonly held with: Series 7 + Series 66
$102,140
U.S. median annual wage, May 2024
Employment is projected to grow about 10% through 2034 — much faster than the average occupation — with around 24,100 openings a year.4
These registrations also tend to be a starting point. As careers progress, license-holders often move into adjacent roles such as financial and investment analysts (U.S. median $101,350) or financial managers (U.S. median $161,700).5
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