Train Employ offers individual courses in addition to the full Apprenticeship Program. Classes combine formal, structured on the job learning from your skilled professionals with related classroom instruction. It was designed by financial services professionals for your industry. Available to financial services and banking employers of all sizes.
WI DWD has posted all of your choices to for the Financial Services Professional Registered programs of Train Employ on the Job Center of Wisconsin's site.
Course Tracks or Individual Class Options
Securities Industry Essentials (SIE) Exam
The qualification tests for several occupations in the financial services industry, formerly known as the Series exams, have been streamlined into one initial exam called the Securities Industry Essentials Exam—or the SIE Exam. Back in 2015, Financial Industry Regulatory Authority (FINRA) streamlined its testing structure by consolidating the fundamental knowledge shared across several of the Series exams into the SIE. Candidates can then take an additional "top-off" qualification exam for the specific field they hope to enter.
Series 6 Top-Off
The Series 6 license is known as the limited-investment securities license. It allows its holders to sell "packaged" investment products such as mutual funds, variable annuities, and unit investment trusts (UITs).1 The Series 6 exam is 135 minutes long, and covers basic information regarding packaged investments, securities regulations, and ethics.
Series 7 Top-Off
The Series 7 license is known as the general securities representative (GS) license. It authorizes licensees to sell virtually any type of individual security. This includes common and preferred stocks; call and put options; bonds and other individual fixed income investments; as well as all forms of packaged products (except for those that also require a life insurance license to sell).2
The only major types of securities or investments that Series 7 licensees are not authorized to sell are commodities futures, real estate and life insurance.
The Series 63 license, known as the Uniform Securities Agent license, is required by each state and authorizes licensees to transact business within the state. All Series 6 and Series 7 licensees must carry this license as well. The provisions of the Uniform Securities Act are tested on the 75-minute exam
This Series 66 is the newest exam offered by NASAA. In essence, it combines the Series 63 and 65 exams into one 150-minute exam.6 This test contains no investment material, as the Series 66 license is only available to candidates that are already Series 7 licensed.