What exams come after the SIE?
Quick Answer
The SIE pairs with a representative-level "top-off" exam: Series 6 for mutual fund and variable contracts reps, Series 7 for general securities reps, and Series 22, 79, 82, 86/87, or 99 for specialized roles. Most candidates pick a top-off based on the role they are targeting.
Full Details
The SIE alone does not register you. You also need a top-off exam:
Common top-offs:
- Series 6: Mutual funds, variable contracts (sponsorship required)
- Series 7: General securities representative (sponsorship required)
- Series 22: Direct participation programs
- Series 79: Investment banking
- Series 82: Private securities offerings
- Series 86/87: Research analyst
- Series 99: Operations professional
State-level exams (not FINRA top-offs but often paired):
- Series 63: Uniform securities agent
- Series 65: Investment adviser representative (no SIE required)
- Series 66: Combined 63 + 65 (typically taken with Series 7)
You take the SIE first (no sponsor needed), then your top-off after a firm sponsors you. The two results combine to register you in your role.