Looking at taking your business to the next level? Are you wanting to receive income from other avenues? Securities might be your answer. While working with or for a Broker Dealer you will have the opportunity to offer your clients more products and services.
XCEL offers a handful of the most common training courses for securities.
The Securities Industry Essentials (SIE) Exam assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. It is a prerequisite to working within the financial services industry. An individual is not required to be an employee of a sponsoring firm to take the exam. The exam does not allow an individual to perform a function and serves as one part in a combination of exams including the Series 6.
Series 6 Top-off
The Series 6 is a FINRA exam required for individuals who sell investment companies, variable annuities and life insurance policies. Individuals are required to pass both the Series 6 Top-Off as well as the SIE qualification exam to register as a representative.
Series 63 is a North American Securities Administrators Association (NASAA) exam required for individuals seeking to register as securities agents with a state securities administrator.
Series 65 is a North American Securities Administrators Association (NASAA) exam which is required for individuals seeking to register with a state securities administrator to function as an investment adviser representative.