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Securities Licensing Frequently Asked Questions

Find answers to all of your questions about Kaplan's Securities Licensing program. If you have any additional questions or would like to work with our student support team just contact us.

FAQ for Securities Licensing

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.
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.
Licenses that do not require a sponsor include the Series 3, 30, 31, 32, 34, 63, 65 & 66. The Securities Industry Essentials (SIE) exam can also be taken without firm sponsorship.
Prometric (www.prometric.com)
Securities licensing exam 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. Or learn more in our Career Corner by reading How to Get Your Series 7 License and other series licenses as well.

FAQ for Kaplan Financial Education

We know that there's no one-size-fits-all solution when it comes to preparing for your licensing exam. That’s why we offer a variety of options to fit your lifestyle and schedule. Compare our study packages for InsuranceSecurities, and CFP® Exam Prep.

Kaplan's full return policy can be found here.

Read about each subject area's PassProtection policy below.

Insurance and Securities Licensing 

Kaplan Professional Education is confident that you will pass your Securities or Insurance Licensing Exam after taking our Live Class. However, in the event that you were unsuccessful in passing your exam, or simply wish to take the class again, please contact our Student Support team at 800.824.8742. You may retake the same class, subject to the conditions described herein, within your access period.

All enrollments under the PassProtection™ program are subject to space availability in the requested class. Web-based courses or classes may be substituted for live classes at our discretion. PassProtection™ enrollments are limited to your product’s access period.  If you want to extend your access period for an additional amount of study time, fees may apply and a new PassProtection™ Retake term will begin.

For more information, please call Student Support at 800.824.8742.

CFP® Certification

You are eligible for PassProtection if you purchase a Live Review Study Solution. If you do not pass the CFP® exam after purchasing a Live Review Study Solution, you will receive a free subsequent Live Review Study Solution within a one-year window of time (three exam cycles).

To be eligible, you must submit your Official Score Report to fpexamresults@kaplan.com within three weeks of receiving it from CFP Board. All exam results will remain confidential.

Insurance Continuing Education

Insurance Continuing Education does not offer PassProtection. If you take the course, you are able to take the final exam as many times as you wish until you attain the score you need. 

Please visit the Kaplan Way section to learn more about our learning science methodology.
Current system requirements can be found here.

If you can't access your course, please contact our Technical Support team by calling 800.824.8742, then choose option #2. Please visit the Technical Support page for current hours.

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.

Our policy gives you the opportunity to reschedule up to 8 days before your class. If changes or cancellation takes place within 8 days of the class, a $20 admin fee or $100 cancellation fee may apply.  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. If you want to extend your access period for licensing classes for an additional amount of study time, fees may apply.

If you're currently enrolled in one of our courses and have questions related to:

  • Locating/tracking materials, rescheduling a class, or filing of CE credits, please contact our Student Support team: 800.824.8742 or contactus@kaplan.com.
  • Accessing or viewing your courses or assistance with online education, our Technical Support team can help you: 800.824.8742, then choose option #2. Please visit the Technical Support page for current tech support hours.
  1. Click Login in the top menu.
  2. Choose your product.
  3. Enter your username and password.
  4. Click the Login button.

If a security warning pops up, click Yes.

  1. On the left menu bar, click Access Your Courses.
  2. The first time you log in, you will see the Terms & Conditions.
  3. Read the Terms & Conditions and click I Agree.
  4. You should now be in the Online Access home.

Follow these steps to change your password:

  1. Enter your email address here.
  2. In the recovery email you received, select the link provided to input your new password.
  3. After submitting your password, select Log in now and log in with your username and password.
  4. Select Access Your Courses in the upper right corner.
  5. Select your course to begin studying.

Please view our current return policy.

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