SIE + Series 6/63 License Training at RSThomas
A career in financial services requires more than ambition. To succeed as a registered representative, you need the right licenses, strong product knowledge, and the confidence to serve clients with integrity. At RSThomas, our SIE, Series 6, and Series 63 License Training equips you with the tools to meet these requirements and excel in a competitive industry.
Securities Industry Essentials (SIE)
The SIE exam tests your knowledge of securities concepts, product types, risks, markets, and regulatory frameworks. By passing the SIE, you show firms that you are ready for additional licensing. It marks the first step toward your finance career.
Series 6:
The Series 6 exam qualifies you to sell:
- Mutual funds
- Variable annuities
- Unit investment trusts
- Municipal fund securities
- Variable life insurance
When you combine the SIE with the Series 6, you open the door to brokerage, insurance, and advisory opportunities.
Series 63:
The Series 63 exam, also called the Uniform Securities Agent State Law Exam, measures your knowledge of state laws, fiduciary duties, ethical standards, and anti-fraud provisions. Most states require you to pass the Series 63 in addition to a product license like Series 6.
Why Training Matters:
The SIE, Series 6, and Series 63 exams don’t just check memory. They evaluate how well you apply regulations, assess client needs, and handle complex laws. If you study alone, you may feel overwhelmed. If you train with RSThomas, you follow a clear plan and build confidence.
We help you:
- Follow a roadmap from basics to advanced application
- Learn directly from industry experts
- Practice with full exam simulations
- Build confidence to pass on your first attempt
Why Choose RSThomas:
We don’t just prepare you to pass, we prepare you for long-term success.
- Experienced Instructors: Our trainers bring real-world securities and compliance expertise. They show you what examiners expect and how to excel.
- Structured Study Plans: We break down every concept step-by-step so you progress smoothly.
- Comprehensive Materials: We give you manuals, digital tools, and practice questions that match FINRA and NASAA outlines.
- Mock Exams: We design our tests to mirror the real exams, so you know what to expect on test day.
- Flexible Learning: You choose live online classes, in-person sessions, or self-paced study.
- Personalized Support: We monitor your performance and guide you in areas where you need improvement.
Course Curriculum Overview:
| Exam | What You Study | What You Achieve |
| SIE | Securities markets, products, risks, ethics, regulators | Build a solid foundation of industry knowledge |
| Series 6 | Mutual funds, annuities, UITs, suitability, disclosure rules | Gain the ability to interact with clients and sell products |
| Series 63 | State laws, fiduciary duty, registration, anti-fraud rules | Ensure compliance and practice with ethical standards |
How Our Program Works:
- Duration: You complete the training in 8–12 weeks depending on your schedule.
- Delivery: We run live classes, provide recordings, and offer one-on-one coaching.
- Support Tools: You use flashcards, quizzes, and mock exams to reinforce learning.
- Exam Strategy: We train you to manage time, analyze questions, and reduce stress.
We remove the guesswork, so you focus on mastering the material and walking into your exams prepared.
Success Tips from Our Instructors
- Stick to a steady routine.
- Take timed practice exams to mirror test conditions.
- Study explanations for both correct and incorrect answers.
- Spend extra time on Series 63 state laws and ethics.
- Complete at least one full mock exam before test day.
Who Should Enroll?
This program fits:
- Aspiring financial professionals earning their first license
- Insurance agents expanding into securities products
- Graduates preparing for sponsorship by firms
- Career changers entering brokerage, advisory, or compliance roles
Career Benefits of SIE + Series 6/63
When you complete your exams with us, you qualify for careers in securities sales, brokerage, and advisory services. You also gain the authority to sell mutual funds, annuities, and similar products, which expands your professional opportunities. At the same time, you build trust with clients and employers by demonstrating proven knowledge and competence. In addition, you meet both state and federal requirements for conducting securities business. With these licenses, you strengthen your credibility and open the door to broader career options.
FAQs
Do I need to pass the SIE before Series 6/63?
Yes. You must pass the SIE first, but you can prepare for all three together.
How difficult are the exams?
Most candidates succeed when they study with structure. We give you that structure.
What is the passing score?
The Series 6 requires 70%. The Series 63 requires about 72%.
How long will preparation take me?
Most students finish in 8–12 weeks, depending on prior knowledge.
What if I fail an exam?
If you don’t pass, we help you analyze weak points, review material, and retake with better preparation.
Why RSThomas is the Smart Choice:
We don’t act like just another prep company; instead, we partner with you to build confidence, skill, and integrity that last well beyond exam day. Our mission is simple: we help you pass with certainty, show you how to apply your knowledge in real-world financial situations, and position you for meaningful career growth in a highly competitive industry.
Take the Next Step:
Your financial career starts here. Enroll in the SIE + Series 6/63 License Training at RSThomas and take control of your future. Contact us today to view schedules, pricing, and enrollment options.