Pass Your FINRA Exams the First Time
Expert-led SIE, Series 7, 63, 65 & 66 training with in-house classes, tutoring, and proven study materials trusted for over 25 years.
We offer expert-led tutoring, live classes, practice exams, and proven study materials for the:
- SIE Exam
- Series 6 Exam
- Series 7 Exam
- Series 24 Exam
- Series 63 Exam
- Series 65 Exam
- Series 66 Exam
and more.
Whether you’re studying independently or attending an in-house class, our instructors and training materials are designed to help you pass with confidence.
SIE (Securities Industry Essentials)
The Securities Industry Essentials (SIE Exam or Essentials Exam) is a new FINRA exam for prospective securities industry professionals. So, this introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Find out more…
Series 6
The Series 6 Exam (Series 6 Top-Off Exam) is the FINRA (Financial Industry Regulatory Authority) exam required by most broker-dealers for their registered representatives.
Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 63 Exam. Find out more…
Series 7
The Series 7 Exam (Series 7 Top-Off Exam) is the FINRA (Financial Industry Regulatory Authority) exam required by most broker-dealers for their registered representatives. Empire Stockbroker Training Institute will help you pass your exam the first time.
Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 63 or Series 66 Exam. Find out more…
Series 24
The FINRA Series 24 exam is required for individuals who wish to supervise or manage other registered representatives or securities business within the members firm. Effective passing of this exam would entitle the holder to supervise trades involving corporate securities, direct participation programs (DPPs) and investment company / variable contracts.
Pre-requisites: Securities Industry Essentials (SIE) plus the Series 7 (General Securities Principal), Series 57 (Trader Principal), Series 79 (Investment Banking Principal), Series 82 (Private Securities Offering Principal), Series 86/87 (Research Principal), or Series 16 (Research Principal). Find out more…
Series 63
The Series 63 Exam is designed to qualify candidates as securities agents. As such, the 63 is designed to judge the applicants knowledge of state securities laws and regulations.
Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 7 (aka: Series 7 Top-off) Exam. Find out more…
Series 65
The Series 65 exam is required of individuals acting as or soliciting for the service of investment advisers. The exam may be required in addition to other exams.
No prerequisites. Find out more…
Series 66
The Series 66 exam is a combination of the Blue-Sky license (Series 63) and the Investment Advisers exam (Series 65). This test is designed to qualify individuals as both securities agents and IARs (investment adviser representatives).
Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 7 (aka: Series 7 Top-off) Exam. Find out more…
All books and online testing programs were created by Steven M. Rice and Rueben Martinez
