Choosing your how to become a stockbroker comes down to matching the exam to your role. This guide separates the introductory SIE, the FINRA representative exams, and the NASAA state-law and adviser exams, then points you to securities exam prep providers — including current CertLaunch partner pricing — so you can compare before you buy.
Securities exam overview
A stockbroker is a registered representative of a broker-dealer. The licensing path centers on three exams — the SIE, the Series 7, and usually the Series 63 — and one key requirement most people miss: you generally need a sponsoring firm before you can sit for the Series 7.
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What a stockbroker actually is3
In regulatory terms, a stockbroker is a general securities representative — someone registered with a FINRA member firm to solicit and transact securities on behalf of clients. The credential that authorizes that work is the Series 7, the General Securities Representative registration.
That framing matters because "becoming a stockbroker" is really a licensing-plus-employment process: you cannot fully register without both passing the exams and being associated with a sponsoring firm.
The exam path: SIE, Series 7, and usually Series 63234
Most stockbroker paths run through three exams.
Step 1: the SIE2
The Securities Industry Essentials exam is the entry exam. Anyone age 18 or older can take it without a sponsor, so many candidates pass it before they even have a job to strengthen their applications. It is 75 scored questions with a passing score of 70.
Step 2: the Series 73
The Series 7 is the representative-level exam that grants general-securities authority. It has the SIE as a corequisite and requires firm sponsorship. It is 125 scored questions with a passing score of 72, and it is the most demanding exam in the sequence.
Step 3: the Series 63 (state law)4
Most states also require the Series 63, a NASAA state-law exam for broker-dealer agents. It is shorter (60 scored questions, 43 to pass) and needs no sponsor. Some roles use the Series 66 instead when an adviser path is also involved.
Why you need a sponsoring firm3
The Series 7 (and other representative-level exams) can only be taken by candidates who are associated with and sponsored by a FINRA member firm, which files a Form U4 to open the exam window. In practice that means you usually land a job at a broker-dealer first, then take the Series 7.
The SIE is the exception — no sponsor needed — which is why passing it early is a common way to show firms you are serious before you are hired.
How long it takes, and how to prepare23
The exam process commonly takes a few months, depending on your firm, schedule, and study pace. Study loads are typically around 40 to 60 hours for the SIE and 80 to 150 hours for the Series 7, with the shorter Series 63 on top.
Prep is where you control cost and outcomes. Compare providers on the broker representative path page and the individual exam pages. Two carry CertLaunch partner pricing: Kaplan Financial Education (20% off) and ExamFX / Training Consultants (30% off with code Cert30).
Compare securities exam prep providers
Once you know your exam, use the securities exam prep comparison to see current package prices, provider formats, and available CertLaunch partner pricing. Compare before you buy instead of paying the first list price you see.
Compare securities exam prep providers side-by-side — with available partner pricing.
Review provider format, package level, exam-prep support, current price, and discount workflow in one place before you enroll.
Securities exam FAQs
What exams do you need to become a stockbroker?234
Most stockbroker paths require the SIE and the Series 7, plus a state-law exam (usually the Series 63, or the Series 66 when an adviser path is involved). The exact sequence depends on the firm and role.
Do you need a sponsor to become a stockbroker?3
Yes for the Series 7. FINRA requires candidates to be associated with and sponsored by a FINRA member firm to sit for representative-level exams. The SIE, however, needs no sponsor.
What is a stockbroker license?3
It is the General Securities Representative registration, earned by passing the SIE and the Series 7 and being registered through a FINRA member firm. Most states add the Series 63.
How long does it take to become a stockbroker?23
Commonly a few months, driven mostly by finding a sponsoring firm and study time (around 40 to 60 hours for the SIE and 80 to 150 for the Series 7). Your firm and schedule set the real pace.
Can I take the SIE before getting hired?2
Yes. The SIE is open to anyone 18 or older without a sponsor, so many candidates pass it first to strengthen job applications, then complete the Series 7 once sponsored.
Sources and citations
CertLaunch uses official state, application, exam-vendor, statute, and administrative-code sources for regulated licensing facts. Verify details before forms, exams, fingerprints, or renewal.
- 1Official sourceFINRA qualification examshttps://www.finra.org/registration-exams-ce/qualification-exams ↗
- 2Official sourceFINRA Securities Industry Essentials (SIE) examhttps://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam ↗
- 3Official sourceFINRA Series 7 examhttps://www.finra.org/registration-exams-ce/qualification-exams/series7 ↗
- 4Official sourceNASAA examshttps://www.nasaa.org/exams/ ↗