Why Securities Exam Prep is Professional Development
WebCE Staff
By
December 18, 2024

Kicking off a career with momentum and finding early success in the securities industry begins at an often-overlooked place: securities exam prep.
The knowledge and skills you gain preparing for industry-entrance exams lay the groundwork for improved retention, confident decision-making, and a smoother transition into the industry. All of this ultimately gives you early-career momentum that sets you apart from the start.
Here are some tips for making the most out of your securities exam prep to start your career off on the right foot.
Oh, the Places You’ll Go!
From trading to portfolio management to advisory services and more, the securities industry offers a wide range of paths that allows each person to find their niche.
Which securities exam is right for you?
Here’s an overview of common roles throughout the securities industry and their required exams:

Securities Industry Essentials (SIE) Exam: Introductory-level qualifying exam all individuals entering the securities industry must pass, alongside their appropriate qualification exam.
Click here for a complete overview of the SIE Exam.
Series 6:
Roles: Financial Advisor (focusing on packaged products like mutual funds), Insurance Agent (selling variable annuities), Entry-level wealth management positions.
Click here for a complete overview of the Series 6.
Series 7:
Roles: Full-Service Broker, Trader, Investment Representative, able to sell a broad range of products (stocks, bonds, options).
Click here for a complete overview of the Series 7.
Series 63 (Usually paired with Series 6 or 7; Required by most states):
Adds state-level regulatory compliance. Often needed for any client-facing, trading, or advisory role that involves state jurisdictions.
Click here for a complete overview of the Series 63.
Series 65:
Roles: Investment Adviser Representative, Portfolio Manager, Fee-Based Financial Planner (often not tied to a broker-dealer). The focus is on providing advice rather than effecting trades for commission.
Click here for a complete overview of the Series 65.