Choosing your how to get a securities license 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
There is no single "securities license." There is a small family of FINRA and NASAA exams, and the one you need depends on your role. This guide maps the main licenses and the steps to earn one.
Start with the exam decision
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What a "securities license" really means13
A securities license is not one document. It is a registration you earn by passing qualifying exams and registering through a firm and, where applicable, a state. FINRA administers the exams for representatives and principals; NASAA writes the state-law and adviser exams.
Which exams you need depends on whether you sell securities, give investment advice, or both, and on the specific products involved.
The main securities licenses13
Here are the exams most people mean when they say "securities license."
SIE (the entry exam)2
The introductory exam. No sponsor required; not a full license by itself, but the foundation for the representative exams.
Series 6 and Series 7 (FINRA representative exams)1
The Series 6 covers packaged products (mutual funds, variable annuities); the Series 7 covers general securities. Both need the SIE and firm sponsorship.
Series 63, 65, and 66 (NASAA state-law and adviser exams)3
The Series 63 is state agent law; the Series 65 is a standalone adviser exam; the Series 66 combines both and is used with the Series 7. The Series 63 and 65 need no sponsor.
The steps to get licensed1
The general path is the same regardless of exam: identify the exam your role requires, take the SIE first if a representative exam is involved (it needs no sponsor), secure a sponsoring firm where the exam requires one, pass the exam(s), and complete registration through the firm and state.
A passed exam is only part of registration; the firm and state (or FINRA for enrollment) control the rest.
How to prepare and save1
Not sure which exam applies to you? Start with the which-securities-exam guide, then compare providers on the matching exam page. Two providers 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 are the types of securities licenses?13
The main ones are the SIE (entry), the FINRA representative exams Series 6 and Series 7, and the NASAA state-law/adviser exams Series 63, 65, and 66. Principals and specialized roles have additional exams.
How do I get a securities license?1
Identify the exam your role requires, take the SIE first if a representative exam is involved, get a sponsoring firm where required, pass the exam(s), and register through the firm and state.
Which securities license do I need?13
It depends on your role: general securities sales point to the Series 7, packaged products to the Series 6, and investment advice to the Series 65 (or Series 7 plus Series 66). See the which-securities-exam guide.
Do I need a sponsor for a securities license?13
The SIE and the NASAA exams (Series 63, 65, 66) do not require a sponsor. The FINRA representative exams (Series 6 and Series 7) require sponsorship by a FINRA member firm.
Is the SIE a securities license?2
The SIE is an introductory exam and a foundation, but passing it alone does not qualify you for registration or authorize securities business. A representative exam and firm registration are also needed.
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 sourceNASAA examshttps://www.nasaa.org/exams/ ↗