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Empire Stockbroker Training Institute

When you’re ready to start your career as a financial professional, Empire Stockbroker Training Institute is here to help. We provide comprehensive top-level books, practice exams, tutoring, and in-house classes for most FINRA and NASAA exams including the Securities Industry Essentials (SIE) exam, the Series 6 exam, the Series 7 exam, the Series 24 exam, the Series 63 exam, the Series 65 exam, Series 66 exam, and many more.

Whether your studying on your own, or are attending an in-house class, or maybe receiving tutoring to help get you over the hump, our books and teachers will help you pass the first time. We’ve developed our books and courses with you in mind…

We have close to 30 years of experience helping people pass their securities exams

SIE (Securities Industry Essentials)

The Securities Industry Essentials (SIE Exam or Essentials Exam) is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate‚Äôs 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.   

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.  This 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. The test 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 were created by Steven M. Rice and Rueben Martinez