Can I take the SIE without sponsorship?
Yes. FINRA permits individuals age 18 or older to take the SIE without being associated with a member firm. Passing the SIE alone does not register you to conduct securities business.
FINRA exam finder
Which FINRA exam do I need?
Start with the work you will perform—not a random exam acronym.
Use your target securities role and firm sponsorship status to find a conservative starting exam path, with official FINRA and NASAA sources.
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Choose the closest role and we’ll show a conservative starting path. The result is guidance—not a registration determination.
How this works
Methodology
The finder maps broad job activities to common exam categories and then applies the key sponsorship distinction: the SIE can be taken independently, while representative-level FINRA qualification exams require firm association and sponsorship. It deliberately returns a likely starting path rather than a definitive registration instruction.
Important caveat
Only your firm’s compliance team and the applicable regulators can determine your required registrations. Job titles are not enough; actual duties, existing registrations, state rules, and firm policies matter.
Official sources
Facts and fees reviewed August 2, 2026. Check the official source before enrolling.
Frequently asked questions
Do I need Series 7 after the SIE?
Only if your job activities and registration category require it. The Series 7 is a representative-level qualification exam and requires association with and sponsorship by a FINRA member firm.
Is Series 63 always required with Series 7?
No. State registration requirements vary. Depending on the role, jurisdiction, and other exams, a firm may identify Series 63, Series 65, Series 66, or another path.
Which exam do investment bankers usually take?
Investment Banking Representatives generally complete the SIE and Series 79 qualification exams. The Series 79 requires firm sponsorship, and other registrations may apply to a specific role.