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Home > Courses/Programs > Professional: Securities Exam Preparation
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Online Securities License Exam Preparation

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Prepare for your securities license(s) the easy way – online, on your schedule with Allied. Our exam preparation materials follow the educational requirements set forth by the financial industry’s most respected regulatory organizations.

Are you ready to get started? Allied has everything you need to advance your professional financial services career in the most efficient manner possible.

Live Student Support

You may be taking an online course, but you are not alone. Allied’s live education support department is available to help you throughout the duration of your course. If you have any questions while preparing for your securities license exam(s), you can reach Allied’s support staff via email, phone or fax. Talk to a live person when you call during regular business hours.

Flexible Online Course

Be in charge of your studies with the flexibility and convenience of an online course. All you need is an Internet connection to study from home or any other place you choose. Learn day or night – it’s up to you!

Nationally Accredited

Allied Schools is accredited by the Accrediting Commission of the Distance Education and Training Council (DETC). The Accrediting Commission of the Distance Education and Training Council is listed by the U.S. Department of Education as a nationally-recognized accrediting agency.

 

Click here to Order Online Enroll today – Benefit from all of the resources you need to successfully start your new career!

Series 7, 65 and 66 Exam Prep

  • Online Series Exam Prep
  • Self-Paced, 24/7 Access
  • Live Education Support

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Allied’s securities exam preparation courses are online and self-paced. Maintain daily responsibilities while you work towards advancing your financial services career with the required industry credentials you need. Meeting your career goals doesn't get any easier.

Series 7 Exam Prep

The Series 7 license is the broadest securities license attainable. Allied's Series 7 Exam Guide is structured around the critical functions of the Registered Representative as described in the Financial Industry Regulatory Authority (FINRA) Series 7 Outline.

What You Receive:

  • Series 7 Online Study Guide with Online Assessments and Study Plan
  • Series 7 Exam Guide with 29 Units that follow the FINRA Outline (hardcopy)
  • 2,000+ questions divided into 7 main categories
  • Mock exams include 125 questions

 

Course Objectives:

  • Investments
  • Portfolio & Securities Analysis
  • Securities Transactions and Record keeping
  • Registered Representatives and Investment Advisors
  • Marketplaces: IPOs & Aftermarket

Series 65 Exam Prep

Passing the Series 65 exam, also known as the Uniform Investment Adviser Law exam, will qualify an individual to operate as an Investment Advisor Representative (IAR) for a Registered Investment Adviser firm (RIA). Areas of focus include retirement planning, fiduciary obligations and portfolio management strategies.

What You Receive:

  • 18 Unit Exam Guide
  • 400+ questions as described in the NASAA Series 65 outline
  • 130-question mock exams
  • Live support

 

Course Objectives:

  • Handling clients and their investment objectives
  • Understanding various investment vehicles 
  • Federal and state securities laws (i.e. Blue-Sky laws)
  • Prohibition on Unethical Business Practices

Series 66 Exam Prep

Passing the Series 66 will prepare you to provide investment advice and effect securities transactions for your clients. Passing both the Series 7 exam, in addition to the Series 66 exam, will qualify you to register as a securities agent and an investment adviser.

Allied’s Series 66 Exam Guide is structured around the critical functions of the securities agent and investment adviser as described in the North American Securities Administrators Association (NASAA) Series 66 Outline.

What You Receive:

  • 4 units of content
  • 300+ questions as described in the NASAA Series 66 outline
  • 100-question mock exams
  • Live support

 

Course Objectives:

  • Economic factors and business information
  • Investment vehicle characteristics
  • Client investment recommendations and strategies
  • Laws, regulations and guidelines including prohibition on unethical business practices

 

Pinpoint Employment Opportunities While Taking Your Course

In order to sit for your Series 7 exam, a licensed broker dealer is required to sponsor you. Do your research while taking your course and locate a "sponsor" employer. Some investment firms will hire new employees to perform other duties while sponsoring them for Series 7 licensing. Insurance companies are another viable sponsor option. This requirement is an opportunity for you to get your career moving even before you get licensed.

Want to locate a sponsor? Click here to view the Financial Industry Regulatory Authority (FINRA) membership list.

Need Help Locating a Sponsor?

Allied can help. 
Have the ambition, but lack the sponsorship FINRA requires in order to sit for your securities exam(s)? You’ve come to the right place.  Allied’s Securities Exam Sponsorship Connection Program was designed to align students with companies looking for new recruits to join their firms, and as a result, are offering securities exam sponsorship.

Click here to learn more about the Securities Exam Sponsorship Connection Program.

 

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Financial Services Career with Securities Licensing

Click here to Order OnlineAre you ready to start a career in the financial services industry? Enhance your income potential and be more valuable to potential employers by getting securities licensed.

What is the purpose of a Series 7 license?

The Series 7 license (General Securities Registered Representative license) is the broadest securities license attainable. Successfully passing the Series 7 securities licensing exam will qualify you to process trades for a variety of corporate securities.

What is the purpose of a Series 66 license?

The Series 66 license is the equivalent of having both the Series 63 and 65 licenses. When combined with a Series 7 license, it qualifies an individual to register as a securities agent and an investment adviser.

How can a securities license enhance my career?

  • Legally process trades of all types of securities (excluding commodities/futures)
  • A Series 7 license is necessary for a member firm associate to register with FINRA
  • Fulfill requirements for the Uniform Securities Act for state registration
  • Enhance your background and legally serve more clients

What career paths can I take?

Once you obtain your Series 7 and 66 licenses, and complete state registration requirements, you can pursue a position as an Independent Adviser Representative. Opportunities may be found in banks, mutual fund brokerages and more. Here are a few examples:

  • Financial Consultant. Work with clients who have brokerage accounts and assist them in selecting securities/investments that will help them meet their financial goals.
  • Securities Representative. Tasks include managing customer accounts through trading and/or selecting the appropriate equity, stock or mutual fund trades.
  • Financial Service Sales. Present, explain and sell a varying range of financial service products to other companies.

Get Started Today

Prepare for greater career opportunity with anytime, anywhere access to your securities licensing exam preparation materials.

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