Varieties of Series Exams for financial certifications

The Series exams are a group of exams run by the Financial Industry Regulatory Authority (FINRA). Different exams are required / desirable for different financial roles, i.e:

  • Series 55 - Equity Trading
  • Series 56 - Prop Trading
  • Series 79 - Investment Banking
  • Series 86 - Equity Research

Most exams including those listed above require sponsorship from a company. The ones which do not require sponsorship are:

  • Series 3 - National Commodity Futures
  • Series 30 - Branch Office Futures Manager
  • Series 31 - Futures Manage Funds
  • Series 63 - Uniform Securities Agent State Law
  • Series 65 - Uniform Registered Investment Adviser Law

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