A career in financial planning starts with a clear and concise foundation of industry knowledge.  At R. S. Thomas Training Associates, Inc. (RST), our program is designed to fulfill the need for quality, comprehensive training for professionals interested in the insurance, risk management, financial and investment fields.  Our courses are intended to prepare you to pass each examination on the first attempt.  We Guarantee It!

The following are the instructor-led securities licensing classes that RST has to offer:

» Series 6 - Investment Company/Variable Contracts
» Series 63 - Uniform Securities Agent State Law
» Series 7 - General Securities Representative

Click here for the current class schedule

RST has partnered with RegEd for additional Securities Exam Preparation Training. RegEd is a nationally recognized company with proven expertise in helping people pass their securities exams the first time. RegEd has an innovative approach to securities training and their programs can be ordered online though our website.
Click here to register for On-Line Securities Courses

Securities Exam Prep Materials and Classes Offered through RegEd:

• Series 6 - Investment Company/Variable Contracts Limited Representative Exam
  This registration qualifies individuals to transact business in variable contacts and investment company products: mutual funds, variable annuities, and variable life insurance. (NOTE: Sales of variable products also requires a state insurance license.)
• Series 7 - General Securities Representative Exam
  General Securities Registered Representative (RR) - This registration allows its holders to transact business in most securities, including stocks, bonds, options, mutual funds and variable annuities. (NOTE: Sales of variable products also requires a state insurance license.)
• Series 24 - General Securities Principal Exam
  This registration qualifies individuals to register as general securities principals in order to manage or supervise the member's investment banking or securities business for corporate securities, direct participation programs, and investment company products/variable contracts. In most cases, anyone supervising Series 7 registered representatives must hold a Series 24 registration.
• Series 26 - Investment Company/Variable Contracts Principal Exam
  This registration qualifies an individual to supervise sales of investment company products, such as mutual funds, and variable contracts. Series 26 licensed principals normally supervise Series 6 Registered Representatives.
• Series 63 - Uniform Securities Agent (State Law Examination)
  Most states require this exam in addition to the Series 6 or 7 to become registered to transact business in their state (uniform exam that only needs to be passed once to qualify in every state). The Registered Representative pays a registration fee to each state they do business in after passing the exam.
• Series 65 - Uniform Investment Adviser Law Exam
  Investment Advisor Exam - This designation allows holders to collect fee-based income from wrap accounts or to charge a specific fee for investment advice. This fee is imposed without regard to whether the customer makes an investment. An individual who has earned a Series 6 or Series 7, but not a Series 65, may not collect fee-based income without this (or another appropriate) designation.
• Series 66 - Uniform Combined State Law Exam
  (Combines Series 63 & 65 into one test) In most states, Series 7 registration is a prerequisite or co-requisite for the Series 66
• Series 9/10 - General Securities Sales Supervisor Exam
  (NYSE Exam) Qualifies an individual to supervise sales activities of a broker/dealer. Series 9 is for options and Series 10 is for general sales supervision and municipal securities. This exam is used to register managers at NYSE member firms.