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Kaplan University School of Professional and Continuing Education Kaplan University School of Professional and Continuing Education

Securities FAQ

Securities FAQ

  1. Who can sponsor me?
    Sponsorship is usually done through a broker/dealer. Contact FINRA® at 800.289.9999 or visit their website at www.finra.org for further information on who can sponsor you.
     
  2. Which series exams do not require a broker/dealer to sponsor them? 
    Licenses that do not require a sponsor include the Series 3, 30, 31, 32, 34, 63, 65 & 66.
     
  3. What can I do with a Series (#) license?
    We provide a brief description of each exam on each series exam page on our website. You can find more information about each series exam by contacting FINRA at 800.289.9999 or visit their website at www.finra.org.
     
  4. What does the Series (#) exam cover?
    We provide a brief description of each exam on each series exam page on our website.You can find more information about each series exam by contacting FINRA at 800.289.9999 or visit their website at www.finra.org.
     
  5. Which testing centers give the securities licensing exams?
    Prometric (800.578.6273 or www.prometric.com)
    Pearson Vue (866.396.6273 or www.pearsonvue.com)
  1. What products do you have?
    In general, we offer live, online, and self-study packages and study tools for the Series 3, 4, 6, 7, 9, 10, 24, 26, 27/28, 52, 53, 63, 65, 66, 79, and 99 exams. Stay up-to-date on our most current offerings by visiting our series exam pages on www.kaplanfinancial.com/securities.
     
  2. What can Kaplan’s tools do for me?
    The intent of our Securities Licensing books, materials, and online study tools are to prepare students with the information that appears on the series exams (not with the actual exam questions).

    Our study tools, including the License Exam Manual, Class Notes, and various online components, must be utilized correctly to experience exam success. During live classes, the classroom instructor will explain at the beginning of class how to best use these materials. Self-study students will have a course explanation document to guide their study activities.
     
  3. What package is right for me?
    We know that there is no one-size-fits-all solution when it comes to preparing for the big exam. That is why we offer a variety of options to fit your learning style and schedule. Compare our study packages on our website: www.kaplanfinancial.com/securities/study-packages.
     
  4. Why should I use Kaplan?
    There are a number of reasons why customers choose Kaplan for their securities licensing exam prep. Visit our Why Kaplan page to learn more: www.kaplanfinancial.com/securities/why-kaplan.
     
  5. What should I bring to my live class?
    You can use the Class Notes book to take notes, so be sure to bring a pen or pencil, highlighter(s), and extra writing paper for charts and instructor board work. Ask your instructor about policies regarding food or snacks during the class, as these may vary. Cell phones can be a distraction in class, and the instructor will explain the cell phone policy and monitor students who are viewing their devices during class.
     
  6. Do I need to study before I come to class?
    Pre-class study is a must! The assumption made by the instructor at the beginning of the class is that students, although new to the securities business, are not hearing and seeing the material for the first time when class begins.
    -- Studying the License Exam Manual can be a daunting task, but reviewing and reading the lessons in this book is recommended.
    --"You can't do too many practice questions!" is a common instructor response when students ask about the SecuritiesPro QBank. Practice questions are a must and will help you achieve exam success.
     
  7. How long do I have access to the online products?
    You have five months access to online securities study tools starting from the date you purchased them. If you would like an extension, you can purchase another five months of access for $49.
     
  8. What is the difference between the Practice Exam and the Mastery Exam?
    Both exams are used to measure your preparedness for the exam. The Practice Exam has the most up-to-date topics and the Mastery Exam is meant to simulate the exam experience both in length and difficulty.
     
  9. Why are the Practice Exam and Mastery Exam one time only?
    These exams are specifically designed to closely mimic the FINRA exam and will accurately measure your ability to pass the FINRA exam.
     
  10. Why aren't the questions in the QBank or the Mastery Exam just like the questions on the Licensing Exam?
    FINRA does not provide the exact questions they use, they only provide an exam outline. The questions we provide are meant to help you understand the content of the material, not how the questions will be asked on the exam. You should be able to answer the question regardless of how it is asked.
     
  11. How long should I study?
    Exam preparation time varies greatly, from a few weeks to several months. Candidates may take longer or shorter, depending on their education level, experience in the industry, and other time commitments (e.g., full-time job, family commitments, etc.). Our goal is to help you minimize this time commitment. Visit our free resources page on our website to view our Best Practices guides that include recommended study times for certain series: www.kaplanfinancial.com/securities/free-resources.
     
  12. Can I just take the class?
    We do offer a class-only option for some of the series, but the classes are review, so we do recommend pre-class study utilizing our study tools.
     
  13. Does the SecuritiesPro™ QBank work on a Mac computer?
    Yes. The SecuritiesPro™ QBank on a Mac computer is most compatible with Firefox.
     
  14. How often is the SecuritiesPro™ QBank content updated?
    Any errors found in the SecuritiesPro™ QBank are updated immediately. You are always seeing the most updated version.
     
  15. How do I set up the SecuritiesPro™ QBank?
    We’ve created a video that walks you through the best way to set up and use the SecuritiesPro™ QBank. View it now »
     
  16. How do I set up my Study Calendar?
    We’ve created a video to walk you through the basics of setting up your calendar. View it now »
     
  17. How can Performance Tracker help with my exam prep?
    We’ve created a video to show you what Performance Tracker does. View it now »
     
  18. I’m having problems adding more than one package. What do I do? 
    If you’d like to place an order for multiple packages, but you are not an admin and/or don’t have access to a company portal, please contact our Student Support team at 800.824.8742.
     
  19. I’m having problems ordering a package for someone else. What do I do?
    If you’d like to place an order for someone else, but you are not an admin and/or don’t have access to a company portal, please contact our Student Support team at 800.824.8742.
     
  20. Can I return the study materials if I’m not satisfied with them?
    Please find our current return policy here: www.kaplanfinancial.com/help/return-policy.
     
  21. How do I access my online tools?
    Access your online tools by following these steps:
    1) Create a new password.
    2) Log in with your username and password.
    3) Click on the Securities Licensing link at the top of the page. Your online tools will be located in the navigation on the left side.
     
  22. I registered to attend a live class, but now I can’t make it. How do I cancel or change my class date?
    Our Pass Protection Policy gives you four opportunities (in the year of your purchase) to reschedule your class. Call or email our Student Support team at 800.824.8742 or contactus@kaplan.com with the date, time, and location that works best for you.
     
  23. What is the retake policy for classes?
    You are eligible for our PassProtection™ program if you utilize Kaplan Financial Education's review class to prepare for a series exam. This program allows you to reschedule your review course up to four times within one year of the date purchased. A fee of $100 for Series 6, 7, 65, and 66 and $50 for Series 63 will be charged for each enrollment after the fourth time taking the course. To qualify for this offer, you must provide written documentation of your exam results in the form of a pass/fail for notification.
     
  24. I'm locked out of my course. What should I do?
    If you can't access your course, please contact our Technical Support team by calling 800.824.8742, then choose option #3.
    Technical Support is available:
    8:00 am - 10:00 pm ET (Monday - Thursday)
    8:00 am - 9:00 pm ET (Friday).