Steps
- Take the SIE
75 questions, $100, no sponsor needed; valid four years.
- Get hired by a broker-dealer
BLS notes that because most licenses require employer sponsorship, companies do not expect candidates to hold them before starting.
- Pass the Series 7
125 questions, $395, sponsored by your firm through CRD.
- Pass the Series 63
State agent law; 60 questions, $147. Most states require it.
- Get registered (Form U4)
Your firm files Form U4 and state registrations through CRD.
- 1,706 original questions across 6 exams
- Section drills + timed full-length exams
- 12 months, one-time - emailed to you after purchase
Your course access is emailed to you after purchase. 14-day money-back guarantee. Refund policy
The job, by the numbers (BLS)
BLS category: “Securities, Commodities, and Financial Services Sales Agents” (page updated August 27, 2026). The category is broader than retail stockbrokers.
SIE to Series 66 prep course - $39
SIE, Series 6, 7, 63, 65 and 66 in one prep course: 1,706 outline-weighted practice questions with explanations, section drills and timed full-length exams. One-time payment, 12 months of access, emailed to you after purchase.
Your course access is emailed to you after purchase. 14-day money-back guarantee. Refund policy
Frequently asked questions
What license do you need to be a stockbroker?
The SIE and Series 7, plus the Series 63 in most states.
Can I become a stockbroker without a firm?
No. The Series 7 requires sponsorship by a FINRA member firm, and registration is through a firm.
Sources
- BLS Occupational Outlook Handbook - Securities, Commodities, and Financial Services Sales Agents (accessed 2026-09-23)
- FINRA - Securities Industry Essentials (SIE) Exam (accessed 2026-09-23)
- FINRA - Series 7 General Securities Representative Exam (accessed 2026-09-23)
- FINRA - Series 63 Uniform Securities Agent State Law Exam (accessed 2026-09-23)