Finance, Securities & Investing

Finance and securities licensing exams open the door to roles in wealth management, investment advice, trading, and financial planning. This vertical brings together exam hubs, books, and apps that are specific to the Canadian and U.S. regulatory environment—plus global investing credentials like CFA.

Our focus is on giving you exam‑realistic questions and clear explanations, so you can move beyond memorizing facts and actually reason through scenarios the way regulators and exam writers expect.

Where to start

Most candidates enter this world through a foundational licensing exam:

• Canada (CIRO/CSI)
  • Canadian Securities Course (CSC) — Exam 1 & Exam 2
  • Conduct & Practices Handbook (CPH)
  • LLQP for insurance‑focused roles
• United States (FINRA/NASAA)
  • Securities Industry Essentials (SIE)
  • Series 7, Series 63, Series 65, Series 66

These exams establish the minimum knowledge needed to discuss investments with clients, understand basic products, and operate within Canadian and U.S. securities regulations.

Featured resources

Mastery Securities & Insurance app

The Mastery Securities & Insurance app (iOS & Android) is your interactive companion for day‑to‑day practice:

• FINRA licensing (SIE, Series 7 and related exams)
• Canadian CSI/CIRO exams (CSC, CPH, and more)
• LLQP and insurance‑related questions
• Timed mocks, daily drills, and progress tracking

You can open the app from the top navigation using the “Securities App” button.

CSC Exam 1 – Practice Questions (PDF/EPUB)

For Canadian candidates, a key starting point is:

• Canadian Securities Course (CSC) — Exam 1 Practice Questions
  500 exam‑style questions with detailed explanations, aligned to the current CSC Exam 1 blueprint. Available as PDF & EPUB via secure checkout.

This book is designed as a practice gym for CSC Exam 1, complementing the official CSI materials and the Mastery app.

What you will find in this area

As the Finance, Securities & Investing catalog grows, this vertical will collect:

• Exam hubs — curated pages for each major exam (CSC, CPH, LLQP, SIE, Series 7, Series 63/65/66, CFA), with blueprint links, study tips, and mappings to Mastery resources.
• Electronic books & QBanks (PDF/EPUB) — practice question books and focused drill sets sold via Lemon Squeezy, designed to mirror real exam style and weights.
• Apps & interactive tools — currently the Mastery Securities & Insurance app, with potential future apps specialized for CFA and other advanced credentials.

Planned additions include:

• CSC Exam 2 practice books and integrated CSC 1+2 bundles
• Expanded coverage for FINRA/NASAA licensing exams
• CFA Level I–III practice, including vignette sets and essay‑style practice for Level III

How this fits with your career path

This vertical is aimed at roles such as:

• Investment advisor / dealing representative
• Financial planner and wealth advisor
• Sales and support roles in banks, broker‑dealers, and insurers
• Aspiring research analysts and portfolio managers (especially when combined with CFA)

A typical progression might look like:

1. Foundational license (CSC, SIE, LLQP, or equivalent)
2. Role‑specific licensing (e.g., Series 7, CPH, jurisdictional requirements)
3. Advanced credentials such as CFA to deepen your investment and research skills

The Finance, Securities & Investing vertical is designed to support you at each stage with realistic practice and clear teaching, so exam days feel like working through one more focused practice set—not a leap into the unknown.