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Securities Licensing

Having a career in the securities industry is beneficial from many standpoints. Adding series exams to your resume enhances your career path. This profession supports a diverse career path whether it is working directly with clients, support staff, or marketing relationships. Securities professionals provide financial advice in addition to buying and selling securities including stocks and bonds.

Our instructors are in the financial services profession teaching industry-leading securities exam prep. Instruction includes engaging lectures and employs effective learning methods.

Financial Industry Regulatory Authority (FINRA)

Financial Industry Regulatory Authority (FINRA) administers the majority of exams that you will are required to take whichever securities path you choose. They mandate securities licensing and requirements. North American Securities Administrators Association (NASAA) is the association of state securities administrators who are charged with the responsibility of protecting consumers who purchase securities or investment advice.

Tim is an excellent teacher. He conveys the material very well and keeps the class moving. I will take classes from him every time he is available.  Code and Standards Ethics, 2022