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Investment Advisor Representative (IAR) License Continuing Education Course

How to Complete Your Investment Advisor Representative (IAR) License Continuing Education Investment Advisor Representative (IAR) Continuing Education Requirements IAR Continuing Education. Every investment adviser representative registered under section 404 of the 2002 Act (or 201 of the 1956 Act) must complete the following IAR continuing education requirements each Reporting Period:…
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Series 7: General Securities Registered Representative License Course

How to Get Your Series 7: General Securities Registered Representative License Series 7 License Requirements: What is a Series 7 license? Known as the General Securities Registered Representative license, this license allows you to sell a broad range of securities. A holder is allowed to sell corporate stocks and bonds,…
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Series 6: Investment Company and Variable Contracts Products Representative License Course

How to Get Your Series 6: Investment Company and Variable Contracts Products Representative License Series 6 License Requirements: The Series 6 license, known as the Investment Company/Variable Contracts Products Limited Representative License, allows you to register as a limited representative with FINRA. With a Series 6 license, you are able to sell mutual…
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Series 4: Registered Options Principal License Course

How to Get Your Series 4 Registered Options Principal License Series 4 License Requirements: Find a Sponsoring Firm To take the Series 4 Exam, you must: — Be associated with and sponsored by a member firm — Be 18 years of age Study for Your Series 4 License By choosing…
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Series 3: National Commodities Futures License Course

How to Get Your Series 3 National Commodities Futures License Series 3 License Requirements: 1. Firm Sponsorship is NOT required To take the Series 3 Exam, you must: — Be 18 years of age 2. Study for Your Series 3 License By choosing STC as your exam prep provider, you…
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Securities Industry Essentials (SIE) Course

How to Complete Securities Industry Essentials (SIE) Course As of October 1, 2018, any new person entering the financial services industry that wishes to become securities licensed, must first earn the SIE (Securities Industry Essentials) license. The SIE license ensures that individuals new to the industry have gained basic concepts…