U.S. Roadmap: FINRA and NASAA

This is a practical study roadmap, not official licensing guidance.

Typical starting points (U.S.)

Representative baseline

• FINRA: SIE -> Series 7

Representative + state law (common add-on)

• NASAA: add Series 63 (role-dependent)

Adviser path (high-level)

• NASAA: Series 65 or Series 66 (depends on your role and required registrations)

Visual roadmap (non-official)

    flowchart TD
	  A["Start<br/>U.S. securities licensing"] --> B["Foundation: SIE<br/>(FINRA)"]
	  B --> C["Representative baseline: Series 7<br/>(FINRA)"]
	  C --> D["State law add-on: Series 63<br/>(NASAA)"]
	  C --> E["Adviser path (role-dependent)<br/>Series 65 or Series 66<br/>(NASAA)"]

Plain-text version:

• U.S. baseline: SIE -> Series 7.
• Common add-on: Series 63.
• Adviser path: Series 65 or Series 66 (role-dependent).

Notes

• Keep your study aligned to the official outline weights and practice under time pressure.
• If your path requires an additional exam (for example, packaged products, principals/supervision, or specialist tracks), add it after your foundation is stable.