Frequently Asked Questions

You must be sponsored by a FINRA member firm in order to take most of the exams. Some exams do not require sponsorship (Series 3, 63, 65, 66, SIE).

Yes. The more reading you do before class, the sooner you will be able to take the exam after the class. That being said, we teach the class in a format helpful to everyone regardless of your background.

No. The video lectures are pre-recorded programs, intended specifically for an online user.

To avoid cancellation or reschedule fees, candidates seeking to alter a scheduled FINRA qualification examination session must do so a minimum of 10 business days in advance” - FINRA Website.

To read the full FINRA Cancellation and Reschedule Policy, copy & paste this link into your browser:

http://www.finra.org/industry/compliance/registration/qualificationsexams/registeredreps/qualifications/p120071

If the live class schedule does not fit your schedule, or you believe you would be better off in an individual setting, you can contact our office to arrange for private instruction.  Typically, we need 8-15 hours to cover the material individually, depending on your background.  If you would prefer private tutoring, please contact our office as far in advance as possible so we can book sessions on the calendar.  There is an additional hourly rate for private tutoring.

Yes, we can work with you on the evenings and weekends.  Please contact our office as far in advance as possible to schedule.

On the morning of your exam, plan on arriving at the testing center at least 30 minutes prior to your scheduled start time.  You should bring with you government issued identification (e.g. driver's license or passport).  Make sure the last name on your I.D. is the same as your last name on your registration form with your firm.  Also make sure you don't bring expired I.D.  You will be required to leave all your personal articles in a locker outside the testing room.  The testing center will provide you with a scratch pad, a pen or marker, and a basic four function calculator.  You are not permitted to bring anything else into the actual testing room.

The exam is administered via the FINRA PROCTOR system at Prometric testing centers.

All  of our public classes are located in Manhattan. If you are located elsewhere we suggest that you use the video lectures or remote training to prepare. We often schedule private classes domestically & abroad for various exams. If your firm would like for us to come on-site & teach a private course, please call our office for details: 212.626.6899.

Yes. As long as you have internet access, you can build & take exams right from your iPad.

Yes, you can come back to our live class if you did not pass the exam. In order to attend class be sure to add the live class option when enrolling.

The classes are geared exclusively towards the examination. For exams that do require a sponsor, we discoruage unsponsored candidates from attending the class.

We don’t handle the scheduling of the actual exam – that typically happens through your compliance department. The cost is dependent on the testing center you book with. When you are ready to schedule it you can contact Prometric Testing: 1-800-578-6273 or http://www.prometric.com/FINRA

That depends on the testing location, but most offer the exams every day of the week (including weekends).

The video lectures cover the same exact content as the live class. It is shorter because we don’t stop for breaks or to answer questions.