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The Securities Licensing Process:
A Step-By-Step Guide
Step 1: Contact Your Broker-Dealer
Before you can schedule an appointment to take a securities exam,
your firm must file the proper application form with the Financial
Industry Regulatory Authority (FINRA). You must complete Form U-4
and a fingerprint card, and return them to your broker-dealer. Your
firm must then file Form U-4, your fingerprint card and the proper
application fee with FINRA. FINRA will process your application and
send your firm an enrollment confirmation that is effective for a stated
number of days. This is commonly referred to as your "window", which
is the period of time during which you can take your test.
Step 2: Register for the Exam Preparation Courses
Call Kaplan Professional Schools® at 651-523-1094 or 1-888-523-1094
to register for the Securities course(s) you wish to take and to order
your course materials. Our office hours are 8:30am-5:00pm, Monday through
Friday.
Step 3: Begin Your Pre-Study
Extensive pre-study of the textbooks and Drill & Practice CD-ROM is
essential. Please refer to the following table
of pre-study recommendations below:
|
Exam Preparation Course
Series 6
Series 63
Series 7
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Recommended Pre-Study Hours
40 hours
20 hours
100 hours |
Step 4: Schedule the Exam
After your firm receives your enrollment confirmation from FINRA,
you can call one of the testing centers to schedule an appointement
for your exam. Keep in mind that you must test within your window.
Exams can be scheduled by calling Pearson VUE at 866-396-6273 or Prometric
at 800-578-6273.
Due to the many tests administered, you should schedule your exam as far in
advance as possible.
In addition to the testing date, the testing center will need to know:
- your name and Social Security number;
- name of your firm;
- telephone number where you or your employer can be reached; and
- client ID, the name of the session, or its identifying series ID.
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Schedules updated: 9/7/2010 at 1:12 PM
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