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Is it possible to take a FINRA exam without being sponsored? 

Unfortunately, the answer to this question is “No.” The Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers or NASD) requires an individual to be sponsored by a member firm, a self-regulatory organization (SRO), or an exchange in order to sit for any of the exams.   



I failed the exam. How long must I wait before I can retake it? 

If you fail your first attempt at the exam, you must wait 30 days before trying again. If you fail a second time, you will need to wait an additional 30 days. And if you fail it a third time you will need to wait 180 days before trying again.  



How do I Schedule an Exam?


Where is SERIAS based?

SERIAS, Inc. is based in Miami, Florida.

How long has SERIAS been in business?

SERIAS, Inc. has been in the securities training business for over 20 years, although it was not always called SERIAS, Inc. SERIAS is formerly known as The Investors Training Center.  


How long should I study before I take a class?

Depending on what exam you are taking, you should read the materials and complete all of the chapter review questions before attending a class.  

How long should I study before I take the exam?

You should attend one of our classes on the subject matter and complete all the practice final exams before attempting to take your exam. If you are not scoring in the 80s on your practice exams, contact us and we will help you devise a plan to help you pass the exam the FIRST time you take it. Again, “Plan the Work, Work the Plan!” 

What is your pass/fail rate?

The national pass rate individuals taking the exam for the first, second and third time as a group is approximately 67% with an average passing score of 73%. With over 30 combined years of experience by our instructors, SERIAS has a pass rate of over 80% for first time test takers. 

Does SERIAS offer one-on-one tutoring? How much does it cost?

SERIAS does offer one-on-one tutoring, either in person or via the internet. Please e-mail us for a comprehensive quote.  

How many years do SERIAS’s instructors have in the financial industry?

Our instructors have a combined tenure of over 30 years in the financial industry, both working in the industry and conducting the security courses you will need to complete the exams. Our instructors bring real life experience into the classroom to help you truly learn. 

I’ve already taken the test and failed! What do you suggest?

Contact us! We would like to speak with you so that we can pinpoint exactly what went wrong, and plan a successful strategy for your next attempt. 

I have a group of students in my company who need a class, can you come to us to teach?

Absolutely! Please contact us with your request. 

How many practice tests and exams should I take before I am ready for the real exam?   

You can never take too many practice exams. SERIAS has hundreds of practice exams questions; let us know if you need more. 

What series do you teach?

SERIAS’s instructors teach it all! If your series is not listed, please contact us. 

What equipment do I need to attend a virtual class?