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Available Licenses and Registrations
Available Licenses and Registrations Available Licenses and Registrations
- Series 2 - NASD Nonmember General Securities [discontinued 6/30/97]
- Series 3 - Commodity Futures Examination
- Series 4 - Registered Options Principal
- Series 5 - Interest Rate Options Examination
- Series 6 - Investment Company and Variable Contracts Products Rep.
- Series 7 - Full Registration/General Securities Representative
- Series 7 - Securities Traders (NYSE)
- Series 7 - Trading Supervisor (NYSE)
- Series 8 - General Securities Sales Supervisor
- Series 8 - Branch Office Manager (NYSE)
- Series 11 - Assistant Representative/Order Processing
- Series 15 - Foreign Currency Options
- Series 16 - Supervisory Analyst
- Series 22 - Direct Participation Program Representative
- Series 24 - General Securities Principal
- Series 26 - Investment Company and Variable Contracts Principal
- Series 27 - Financial and Operations Principal
- Series 28 - Introducing Broker-Dealer/Financial and Operations Principal
- Series 30 - Branch Office Manager Futures
- Series 31 - Futures Managed Funds
- Series 32 - Futures U.K. Representatives
- Series 33 - Futures - Financials only
- Series 37 - Canadian RR Full Exam (includes options)
- Series 38 - Canadian RR Limited Securities (excludes options)
- Series 39 - Direct Participation Program Principal
- Series 42 - Options Representative
- Series 47 - Japan RR General Securities
- Series 52 - Municipal Securities Representative
- Series 53 - Municipal Securities Principal
- Series 62 - Corporate Securities Representative
- Series 63 - Uniform Securities Agent State Law Examination
- Series 65 - Uniform Investment Advisor Law Examination
- Series 66 - Unified Combined (RIA) State Law Exam (basically the 65 + 63)