American Investment Training

Tuesday, October 10, 2017

Broker Exams and Licenses NOT requiring Sponsorship - FINRA and NFA Licenses you can get independently


Become a Licensed Investment Professional Independently!
Series 65 - Series 63 - Series 3



The Series 7 and many other exams require a firm to sponsor you before you can sit for the licensing test. This usually means being hired as a full time employee first. After a probationary or training period, a registration can begin by the firm to set the broker trainee or other brokerage employee for an exam.

However, there are many exams that are not included in this restriction. Most of these exams are either advisory in nature (earning fees) or futures market based. The most popular and high valued licenses that do not require a firm to sponsor you include: 

INVESTMENT ADVISORY AND STATE LICENSES

SERIES 65 - Registered Investment Adviser. 

SERIES 63 - Uniformed State Law

SERIES 66 - Combined Series 63/ Series 65

FUTURES AND COMMODITIES LICENSES

SERIES 3 - Futures and Commodities 

SERIES 31 - Futures Managed Funds

SERIES 30 - Futures Branch Manager

SERIES 34 - Retail Forex 


ONLINE COURSES for the Series 63, 65 and 66 are available online to begin right away with 24/7 access:   https://portal.kaplanfinancial.com/partner/HII/

Courses for the Series 3 and all futures exams can be ordered through our self study education site:


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