► Online and CD-ROM
► Live Virtual
Classroom Training. Attend the classroom through the internet connection on
your computer and a toll-free telephone conference line.
And Coming Soon:
► Virtual Classroom On Demand. Recordings of live virtual
classes that simulate a brick and mortar classroom and may be viewed at your
convenience. They give you a classroom-like experience in a self-study
format and expand on the material covered in the study guide by giving you
real-world examples to enhance your learning experience.
Quality securities licensing training
that has reasonable cost, convenience and a proven successful track record. We are proud and pleased to bring this to
you, our valued clients.
The following guide briefly describes the content and
type of each securities licensing exam preparation program which is available:
Securities License Types
Series 6 - Investment Company/Variable Contracts
license qualifies individuals to transact business in variable contacts and
investment company products: mutual funds, variable annuities, and variable
life insurance. (NOTE: Sales of variable
products also requires a state insurance license.)
Series 7 - General Securities Representative Exam
Securities Registered Representative (RR) - This license allows its holders to
transact business in most securities, including stocks, bonds, options, mutual
funds and variable annuities. (NOTE: Sales of variable products also requires a
state insurance license.)
Series 24 - General Securities Principal Exam
license qualifies individuals to register as general securities principals in
order to manage or supervise the member's investment banking or securities
business for corporate securities, direct participation programs, and
investment company products/variable contracts.
(Manager of a Series 7 Registered Representative)
Series 26 - Investment Company/Variable Contracts
license qualifies an individual who will function as a principal for the
solicitation, purchase, and/or sale of redeemable securities of companies
registered pursuant to the Investment Company Act of 1940; securities of
closed-end companies registered pursuant to the Investment Company Act of 1940
during the period of original distribution only; and variable contracts and
insurance premium funding programs and other contracts issued by an insurance
company. (Manager of a Series 6 Registered
Series 63 - Uniform Securities Agent (State Law
Sky Laws' Most states require this exam in addition to the Series 6 or 7 to
become registered to transact business in their state (uniform exam that only
needs to be passed once to qualify in every state). Rep pays a registration fee
to each state they do business in after passing the exam.
Series 65 - Uniform Investment Adviser Law Exam
Advisor Exam. The IA designation allows holders to collect fee-based income
from wrap accounts or to charge a specific fee for investment advice. This fee
is imposed without regard to whether the customer makes an investment. An
individual who has earned a Series 6 or Series 7, but not a Series 65, may not
collect fee-based income without this (or another appropriate) designation.
Series 66 - Uniform Combined State Law Examination
Series 63 & 65 into one test) Many Series 7 reps take this exam instead of
the Series 63 & 65 separately.
9/10 - General Securities Sales Supervisor Exam
Exam) General Securities Sales Supervisor Examination.
Qualifies an individual to supervise sales activities of a
broker/dealer. Series 9 is for options and Series 10 is for general
sales supervision and municipal securities.
Copyright © 2018 Bradley Enterprises - 2608 Newby Rd - Huntsville, AL . 35805, all rights reserved.
Copyright includes this website, all related web pages and any materials delivered as a part of our
training courses. Our students purchase a temporary license for proprietary intellectual property
as a part of our online training courses; therefore all sales are considered final. We do not extend
any offer for refund on our courses other than as stated on our website. Our securities training classes
are sold through RegEd and are therefore subject to RegEd's refund policy as stated in their materials.
It is entirely the responsibility of the student to apply the materials
as instructed to be successful with their state exam.