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Working in the securities industry requires registration with various regulators (SEC / FINRA / NASAA). Which qualifying exams you must take depends on whether your firm provides brokerage services, investment advisory services or both as a dual capacity firm.
NorthStar Exam Prep offers training for all your FINRA/NASAA testing needs:
BROKER-DEALERS
To qualify and register as a broker-dealer agent, individuals must pass two FINRA exams:
Additionally, a NASAA exam may be required to register with the state (i.e. Series 63).
INVESTMENT ADVISERS
To qualify and register as an investment adviser or investment adviser representative, individuals must pass NASAA’s Series 65.
DUAL CAPACITY FIRMS
To qualify and register as a BD agent and an IA/IAR, individuals must pass the Series 66 in conjunction with the Series 7. Alternatively, the Series 65 and Series 63, in conjunction with the Series 7, satisfies the requirement.
NorthStar Securities Exam Preparation provides exam takers with hands-on support, facilitated by NorthStar Exam Prep experts, along with the “Green Light” plan which is designed to maximize chances of passing the exam by ensuring that a student’s training stays on-track and on-schedule. Students who are issued a “Green Light” pass their exams well over 90% of the time. Exam takers leverage NorthStar Exam Prep to PASS WITH CONFIDENCE!
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For over two decades…
…the principals of SecuritiesExamPrep.com have provided the Financial Services industry with best-of-breed training for registration/licensing exams required by FINRA and NASAA.
Each instructor/subject matter expert has over 25 years of industry experience in roles ranging from individual producer to branch manager and OSJ. Just as importantly, our instructors have vast experience teaching the material and helping students to pass their exams on their first attempt!
