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Registered Representatives


Series 3 - National Commodities Futures


Series 6 - Investment Company Products / Variable Contracts Representative


Series 7 - General Securities Representative


Series 31 - Futures Managed Funds Examination


Series 37/38 - Canadian Module of the Series 7


Series 55 - Limited Representative - Equity Trader Examination


Series 63 - Uniform Securities Agent State Law Examination


Series 65 - NASAA - Investment Advisors Law Exam


Series 66 - NASAA - Uniform Combined State Law Exam



Principals and Managers


Series 4 - Registered Options Principal


Series 9 - General Securities Sales Supervisor (Options Module)


Series 10 - General Securities Sales Supervisor (General Module)


Series 24 - General Securities Principal


Series 26 - Investment Company Products / Variable Contracts Principal Examination


Series 27/28 - Broker / Dealer Financial Operations Principal


Series 51 - Municipal Fund Securities Limited Principal


Series 53 - Municipal Securities Principal



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Empire Stockbroker Training Institute




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There is absolutely nothing more crucial than passing the Series 7 the first time.  Besides the cost of failing the exam ($200 per try), there is also the frustration and waiting time involved before being able to take the test again.  For a small fee, you can take an unlimited number of tests and go into the exam with the confidence to succeed the first time.





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