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Wednesday, October 30, 2013

Securities Licensing Process

Step #1: Enroll for one of my Series 6 and/or 63 training classes.  Look for the "Buy Now" Paypal link towards the top right.

Step #2: Complete your securities training.  It is recommended that you study for at least 60 hours before taking your exam.

Step #3: 
Obtain a sponsorship from a Broker/Dealer so that you can take the federal exam. See your company/sponsor for application forms including the U4.  

Step #4: Register for your federal exam. See your company/sponsor for further registration instructions.

Step #5: Take exams early in your "test window" so you have time for re-takes, or re-schedules.  This will save expenses from having to open a new "test window".