Securities License Prep
Series 7, 63, 65, 66, 9 & 10 — taught, drilled, and registered.
Full course content, scored timed practice exams, and a real path to the state exam. Pass our practice exam for a series and unlock 50% off your real FINRA / NASAA exam registration when you book through us.
FINRA
Series 7
General Securities Representative
The gateway license to sell virtually every type of security: equities, bonds, options, mutual funds, municipal securities, and direct participation programs.
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NASAA
Series 63
Uniform Securities Agent State Law
State-level law exam required in nearly every state to sell securities. Focused on the Uniform Securities Act, agent registration, and ethics.
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NASAA
Series 65
Uniform Investment Adviser Law
Required to act as an Investment Adviser Representative in most states. Heavy on economics, portfolio theory, ethics, and fiduciary duty.
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NASAA
Series 66
Uniform Combined State Law
Combines the Series 63 (state law) and the IAR portion of the Series 65. Co-requisite with the Series 7 — together they qualify the holder as both an agent and an IAR.
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FINRA
Series 9
General Securities Sales Supervisor — Options Module
Half of the Series 9/10 supervisor pair. Covers options supervisory responsibilities for general securities sales supervisors.
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FINRA
Series 10
General Securities Sales Supervisor — General Module
The general module of the supervisor pair. Covers branch office supervision, hiring/registration, sales practice, and trading rules. Series 9 + 10 together qualify a general securities sales supervisor.
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GICP Community
Join the Global Credit Professional community
SWA is an active member of the Global Institute of Credit Professionals (GICP). Our members can register directly for the GICP Global Credit Certificate program and join the worldwide community of credit, risk, and capital-markets professionals.
Register with GICP →Opens gicp.org in a new tab. Registration and any fees are handled directly by GICP.
Bank & firm partnerships
SWA is building a partner program with retail banks, broker-dealers, and RIAs to sponsor candidates through licensing in exchange for hiring pipelines. If you represent a firm interested in partnership, reach out via the homepage contact.
Disclosure. SWA is an independent education provider. FINRA CE sponsor approval and NASBA registration are pending — completing SWA practice exams does not constitute regulatory credit until accreditation is finalized. The 50% state-exam registration discount is an SWA-funded benefit, not a FINRA / NASAA discount.