Licenses and Designations by Career Path

• Securities Representative Licenses

  • Securities Industry Essentials (SIE) Exam
  • General Securities Representative Qualification Examination (Series 7)
  • Uniform Securities Agent State Law Examination (Series 63)

• Investment Adviser Representative Licenses

  • Uniform Investment Adviser Law Examination (Series 65)
  • Uniform Combined State Law Examination (Series 66)

• Supervisory Principal Licenses

  • Securities Industry Essentials (SIE) Exam
  • General Securities Representative Qualification Examination (Series 7)
  • General Securities Principal Qualification Examination (Series 24)

• Financial Planning and Investment Designations

  • CFP Certification Examination
  • Chartered Financial Consultant (ChFC)
  • Chartered Life Underwriter (CLU)
  • CFA Program Level I Exam