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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:

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:

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: