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Getting Started

Getting Started

We have a booklet available that briefly covers the basics of the affiliation process. It covers the initial setup of your financial services entity, registration, marketing material, and back office organization. Contact us for a copy.

Once you are ready to get started, your Professional Affiliation Program representative will guide you through each step of the process.


Overview of Licenses
Series 7 - General Securities Registered Representative. This license will allow you to sell stocks, corporate bonds, rights, warrants, closed-end funds, REITs and other asset-backed securities, options, mutual funds, municipal and government securities and direct participation programs. You will have 6 hours to take the exam. Please keep in mind that to sell the variable insurance products, you will need to acquire the appropriate insurance licenses.

Series 63 - Uniform Securities Agent State
Law Exam. This exam covers the Uniform Securities Act of 1956 (and amendments) and provides guidelines for state registration of securities and defines fraudulent sales practices. Most states require the Series 63 as a condition of registration as a Registered Representative. You will have 1 hour to take the exam.

Life Insurance Exam.
This exam covers life, health, accident, and variable life insurance. You will have 3 1/2 hours to take the exam.