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What Order to Take FINRA Exams

Take the SIE first, then the Series 7 once a firm sponsors you, then the Series 63 (broker) or Series 66 (broker + adviser). Fee-only advisers can skip all of that and take the Series 65 alone.

Updated 2026-09-23 · 4 sources · By the SeriesPrepKit team

The order, by goal

GoalOrderWhy this order
BrokerSIE -> Series 7 -> Series 63SIE first (no sponsor), 7 once hired, 63 for states
Broker + adviserSIE -> Series 7 -> Series 66The 66 assumes Series 7 product knowledge and needs the 7 for registration
Fee-only adviserSeries 65No prerequisites; stands alone
Funds and annuities onlySIE -> Series 6 -> Series 63Narrower top-off exam
Not hired yetSIE (then wait)Valid four years; strengthens your application
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Rules that drive the order

  • The SIE is a co-requisite, not a strict prerequisite, for the Series 6 and 7: you need both to register, in either order.
  • The Series 7 and 6 require sponsorship; the SIE, 63, 65 and 66 do not.
  • The Series 66 requires a valid SIE and Series 7 at registration, which is why it comes last.
  • Validity clocks: SIE 4 years; NASAA exams 2 years before you register.

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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.

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Frequently asked questions

Should I take the SIE or Series 7 first?

Usually the SIE, because you can take it before you are hired. Once sponsored, either order works.

Should I take the Series 63 or 66 after the Series 7?

The 63 if you will only earn commissions; the 66 if you will also give fee-based advice.

Sources

  1. FINRA - SIE Exam and Exam Restructuring FAQ (accessed 2026-09-23)
  2. FINRA - Series 7 General Securities Representative Exam (accessed 2026-09-23)
  3. FINRA - Series 66 Uniform Combined State Law Exam (accessed 2026-09-23)
  4. NASAA - Exam FAQs (accessed 2026-09-23)
Securities Licenses ExplainedThe securities licenses you need, by job: SIE, Series 6, 7, 63, 65 and 66 compared by questions, time,...SIE vs Series 7: How They Fit TogetherSIE vs Series 7: the SIE ($100, no sponsor) tests general knowledge; the Series 7 ($395, sponsor required)...Series 65 vs 66: Which One Do You Need?Series 65 vs 66: the 65 (130 Qs, $187) is for fee-only advisers; the 66 (100 Qs, $177) is for reps who...Which Securities Exams Can You Take Without Sponsorship?You can take the SIE, Series 63, 65 and 66 without a sponsor; the Series 6 and 7 require a FINRA member...FINRA & NASAA Exam FeesCurrent exam fees: SIE $100, Series 6 $100, Series 7 $395, Series 63 $147, Series 65 $187, Series 66 $177....Free FINRA Practice TestsFree practice tests for the SIE, Series 6, 7, 63, 65 and 66 with original questions, explanations and a...
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