Best Financial Advisor Securities Exam Prep Providers Compared
Compare providers, public package-detail verification, study support, and exam fit before you buy.
Compare securities exam prep paths for financial advisor and investment adviser representative roles, including Series 65 and Series 66.
| # | School & fit | Format · Access | List price▾ | Code / workflow | After workflow▾ | Go to school |
|---|---|---|---|---|---|---|
| 1 | Kaplan Financial EducationBest Value | Self-paced, OnDemand, and live online with QBank and instructor support 5 months access 8 packages | $59.00 List price | ✓ Auto-applies at checkout | $47.20 save $11.80−20% | Go to Kaplan |
| 2 | Achievable | Adaptive self-paced with practice questions 1 year access 6 packages | $79.00 Starting at | No discount code available | $79.00 no discount | Go to Achievable |
| 3 | ExamFX / Training ConsultantsBest Discount | Online self-paced plus live online study packages 6 months access 7 packages | $115.00 List price | Cert30 | $80.50 save $34.50−30% | Go to Training Consultants |
| 4 | Securities Institute of America | Self-paced with video, textbook, and practice exams Varies by product access 6 packages | $85.00 Starting at | No discount code available | $85.00 no discount | Go to SIA |
| 5 | Pass Perfect | Self-paced, mastery-based, with live review options Varies by package access 6 packages | $99.00 Starting at | No discount code available | $99.00 no discount | Go to Pass Perfect |
| 6 | STC | Self-paced, virtual class, and live options Varies by package access 6 packages | $103.00 Starting at | No discount code available | $103.00 no discount | Go to STC |
| 7 | Knopman Marks | Premium guided prep with live and OnDemand options Varies by package access 6 packages | $200.00 Starting at | No discount code available | $200.00 no discount | Go to Knopman Marks |
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More securities exam paths
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Use these live CertLaunch securities pages to move from the hub to the specific SIE, Series, advisor, broker, or insurance-plus-securities path you need.
Two routes to a financial advisor role
There is no single "financial advisor exam." Most candidates compare two routes, and the right one depends on role, firm structure, and state registration path.
Route 1: Series 65 (standalone adviser)
The Series 65 is NASAA's Uniform Investment Adviser Law Examination. It can be taken without firm sponsorship or the SIE, which makes it a common path for investment adviser representative (IAR) and fee-only advisory roles.
Route 2: Series 7 plus Series 66
Advisors working through a broker-dealer often pair the Series 7 (with the SIE corequisite and firm sponsorship) with the Series 66, which combines state agent and adviser law. Confirm which route your firm and state require before you buy prep.
How to choose financial advisor exam prep
Adviser-track exams (Series 65 and Series 66) are long and heavy on laws, regulations, and adviser concepts, so prioritize explanation quality, deep practice-question banks, and a clear study calendar over lowest price.
Two providers include CertLaunch partner pricing — Kaplan (20% off) and ExamFX / Training Consultants (30% off with code Cert30); the others are shown at standard public prices.
What students say about the financial advisor path
General peer insight, not a promise of any individual result:
- The Series 65 route is popular with candidates going straight into investment advisory because it needs no sponsor or SIE; it is also the most demanding single NASAA exam, with study loads commonly from ~50 hours (finance background) to 80 to 100 hours (newcomers).
- The Series 7 plus Series 66 route is a larger combined load but is common inside broker-dealers that also offer advisory services.
- Both adviser exams reward careful reading of law and ethics scenarios, so realistic practice questions with worked explanations tend to matter most.
Official sources
Use NASAA's exam pages and FINRA's qualification exams for exam scope and eligibility, and confirm state IAR registration steps with your firm or regulator. NASAA and FINRA do not endorse CertLaunch or any prep provider.
Securities course discounts
Two CertLaunch partners offer securities exam-prep discounts you can use right now. Each provider controls final eligibility and checkout price, so verify the total before paying:
- Kaplan securities: 20% off, no code needed
- Training Consultants: 30% off with code Cert30
- Compare all securities discounts
Related securities guides
These CertLaunch guides help you plan your exam path:
- How to become a financial advisor
- How to become an investment adviser representative
- Stockbroker vs financial advisor
FINRA study-material caveat
FINRA publishes the official SIE content outline but does not endorse study materials from any particular vendor.
How securities exam prep provider comparison works
Securities exam prep is a national provider market. The key decision is not a state-approved school list; it is which exam sequence, study format, support level, and public provider information fits the candidate.
SIE is commonly the starting point for new candidates. Series 6 and Series 7 are FINRA top-off exams and generally require firm association. Series 63, Series 65, and Series 66 are NASAA uniform exams tied to broker-dealer agent or investment adviser representative paths.
Choose the right securities exam prep package
Match difficulty to support level
Budget self-paced prep can be enough for SIE or Series 63 if the candidate studies consistently. Series 7, Series 65, and Series 66 often justify deeper QBank access, video instruction, live class support, or a premium provider.
Review sponsorship timing before paying
SIE does not require firm sponsorship. Series 6 and Series 7 generally require a member-firm or SRO association. NASAA Series 63, 65, and 66 are uniform state-law/adviser exams, but registration requirements still depend on the role and regulator path.