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Securities Training

RS Thomas has partnered with ExamFX for additional Securities Exam Preparation Training. ExamFX is the industry leader in online training and assessment for Professional Pre-Licensing in Insurance and Securities exams with pass rates that are second to none. The Professional Licensing materials for securities exams provided will help learners more easily comprehend complex financial topics. The content is provided by leading experts who are well-versed in specific industry outlines. Customer support is available six days a week, even during evening hours.
Securities Exam Prep Materials and Classes Offered through ExamFX:
  • Series 6 & 63
    • Series 6 - Investment Company/Variable Contracts Limited Representative Exam
      This registration 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 63 - Uniform Securities Agent (State Law Examination)
      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). The Registered Representative pays a registration fee to each state they do business in after passing the exam.
  • Series 7 - General Securities Representative Exam
    General Securities Registered Representative (RR) - This registration 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 65 - Uniform Investment Adviser Law Exam
    Investment Advisor Exam - This 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 Exam
    (Combines Series 63 & 65 into one test) In most states, Series 7 registration is a prerequisite or co-requisite for the Series 66
  • Series 24 - General Securities Principal Exam
    This registration 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. In most cases, anyone supervising Series 7 registered representatives must hold a Series 24 registration.
  • Series 26 - Investment Company/Variable Contracts Principal Exam
    This registration qualifies an individual to supervise sales of investment company products, such as mutual funds, and variable contracts. Series 26 licensed principals normally supervise Series 6 Registered Representatives.
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