Best Financial Series Exam Certifications

best-financial-series-exam-certificaitonsSeries Examinations/Registrations

The National Association of Securities Dealers (NASD) administers a series of licensing examinations that are used to qualify people for employment in many parts of the finance industry. For example, the Series 7 is commonly (although somewhat incorrectly) known as the stockbroker exam.

Complete List of Series Investing Exams

Here is a list of the most important series exams for your financial and investing career:

  • Series 3 – Commodity Futures Examination
  • Series 4 – Registered Options Principal
  • Series 5 – Interest Rate Options Examination
  • Series 6 – Investment Company and Variable Contracts Products Rep.
    • Translation: qualifies sales representatives to sell mutual funds and variable annuities.
  • Series 7 – Full Registration/General Securities Representative
    • Translation: qualifies sales representatives to sell stocks and bonds. Variations include:
    • Securities Traders (NYSE)
    • Trading Supervisor (NYSE)
  • Series 8 – General Securities Sales Supervisor
    • Branch Office Manager (NYSE)
  • Series 11 – Assistant Representative/Order Processing
  • Series 15 – Foreign Currency Options
  • Series 16 – Supervisory Analyst
  • Series 22 – Direct Participation Program Representative
  • Series 24 – General Securities Principal
  • Series 26 – Investment Company and Variable Contracts Principal
  • Series 27 – Financial and Operations Principal
  • Series 28 – Introducing B/D/Financial and Operations Principal
  • Series 39 – Direct Participation Program Principal
  • Series 42 – Options Representative
  • Series 52 – Municipal Securities Representative
  • Series 53 – Municipal Securities Principal
  • Series 62 – Corporate Securities Representative
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Advisor Law Examination

The following NASD resources should help.

  • The procedures for becoming a member of NASD, including details about registering personnel through the Central Registration Depository (CRD).
    http://www.nasdr.com/4700.htm
  • The NASD’s CRD call center: +1 (301) 590-6500
  • The NASD home page.
    http://www.nasd.com/