The first step is to enroll in the Financial Academy SIE/Series 6 or SIE/Series 7 course and
study to pass the Securities Industry Essentials (SIE) exam. Anyone can take the SIE -- it
does not require company sponsorship. Taking the initiative to pass the SIE allows you to
demonstrate your competence to get sponsored by a FINRA member firm for your Series 6 or
The Financial Academy SIE/6 course thoroughly prepares you for both exams, so when you
pass the SIE you're already well prepared for the Series 6. If your goal is Series 7, the Financial
Academy course will have you about halfway there when you pass the SIE.
After the SIE, you have to be sponsored to take the FINRA Series 6, 7, 24 or 26 exams. To get
sponsored, you simply register with a FINRA member firm via the online U-4 form. When this
comprehensive background and reporting form has been completed through the compliance
department of your sponsoring firm, your 120-Day Testing Window will be opened. Once the
testing window is opened, the exam may be scheduled.
You don't need sponsorship to take any Financial Academy study course.
|Common FINRA Series Questions
|How do I get my Series 6 or 7 License?
|Do all the Series Exams
The Series 63 Securities Agent Law Exam and the Series 65 Adviser Law Exam don't require
sponsorship and can be easily scheduled online. If you are already sponsored, your compliance
department must open your window. If you are registered for the Series 7 your firm can sponsor you
for the Series 66 Adviser Law Exam.
Financial Academy OnDemand 24/7 courses may be taken without sponsorship.
Enroll in a FINRA exam pre-license study course now!
|The Fastest Start in Financial Services