Everything you need, nothing you don't.
Why study concepts that aren’t tested? Simple & uncomplicated, no confusing add-ons.
Our package is the best value in the industry and includes everything you need to pass your exam quickly.
- Convenient – Study anywhere, anytime on your desktop, tablet, or phone.
- Comprehensive - Online & printable lessons with executive summaries; OnDemand lectures; test-taking tips; quizzes, midterms & finals that simulate the actual test; and direct access to expert instructors.
- Personalized – System creates a personalized plan that targets weaknesses and optimizes study time. Create unlimited custom exams to close any knowledge gaps.
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Working in the securities industry requires registration with various regulators. Which qualifying exams you must take depends on whether your firm provides:
- Brokerage services
- Investment advisory services
- Both
NorthStar Exam Prep offers training for all the most common FINRA/NASAA testing needs:
Broker Dealers
To qualify and register as a broker-dealer agent, individuals must pass two FINRA exams:
- The Securities Industry Essentials (SIE or Essentials) exam
- A Specialized Knowledge Exam (SKE), commonly called a “Top-off” exam (i.e. Series 6 or Series 7)
Additionally, a NASAA exam (i.e Series 63) may be required to register with the state.
Investment Advisers
To qualify and register as an investment adviser or an investment adviser representative, individuals must pass NASAA’s Series 65.
Dual Capacity Firms
To qualify and register as a BD agent and an IA/IAR, individuals must pass the Series 7 plus either the:
- Series 66 or
- Series 65 and Series 63
