Frequently Asked Questions about the Test Enrollment Services System (TESS)™

Account Creation

1. I am a new user and need to request an enrollment. How do I log into TESS?

Please visit our “Enroll for a Series Exam” page and select the appropriate link for the exam you are requesting. Note that before you can enroll as a new user for an exam using TESS, you must register to create a profile. Use the following steps to register:

  1. Click on Get Started.
  2. Click on “Create Account Here.”
  3. Select either “Continue With Email” or “Continue With Google.” The “Continue With Google” option lets you use your Google email credentials to create your FINRA individual account. You will then be able to login using the “Sign in with Google” option.
  4. If you chose “Continue With Email” to register, you will receive two emails, one with a User ID and another one with a link to setup the password. Click on the link to setup the password and skip step 5.
  5. If you choose “Continue With Google” to register, click on “Sign in With Google.”
  6. Create your security questions then select “Save.”
  7. Read FINRA’s Privacy Statement. You must select “Agree” to use FinPro.
  8. You will need the following information to create your profile:
    • your US Social Security number or Individual CRD number,
    • date of birth,
    • a primary phone number, a secondary phone number, and
    • your current residential address.
  9. Click the “Save” button.

 

2. I already have a U10 account, and I’ve submitted a U10 form filing in the past. How do I log into TESS?

Your U10 login credentials will work for TESS, but you may be required to provide additional information when you access TESS. If you have forgotten your user ID or password, please use the “Forgot User ID or Password?” link on the TESS login page.

3. What are the eligibility requirements to submit an enrollment request through TESS?

In order to submit an enrollment through TESS, you:

  • must be at least 18 years of age;
  • must provide personal identifying information such as name and date of birth; and
  • cannot be actively registered in Web CRD.

4. Why am I required to provide my Social Security number (SSN) when creating a new profile in TESS?

Your SSN is required to verify your identity and will be transmitted to FINRA using an encrypted connection. If you do not have an SSN, you will be required to enter your mother’s maiden name. NOTE: If you have an SSN and do not provide it, or you provide inaccurate information, FINRA will not post your score to Web CRD, and you may be required to requalify by examination.

5. What is the CRD number on the “Create Profile” screen?

A CRD number is a unique number the Web CRD system assigns to every individual who has a record in this system. On the “Create Profile” screen, if you have a CRD number, you are required to enter it. Please contact your firm if you do not know your CRD number, or you may look it up in BrokerCheck®. NOTE: You will not be authorized to use TESS if you are currently employed by a FINRA member firm in a registered capacity.

6. Why do I need to select the "I am not a robot" option on the screen during my profile creation in TESS?

The “I am not a robot” option will allow FINRA to block spammers and automated computer scripts from gaining unauthorized access to the system and secure data. The software analyzes various factors to ensure that a human, rather than a robot, is attempting to log into TESS. The system may prompt users trying to register to identify a common object among several pictures. If the object in the pictures is not easily identified, select the refresh button reload icon  until a familiar object is presented. An audio option is also available.

7. I made a typographical error and provided an incorrect SSN. What should I do?

Please contact the FINRA Support Center at (240) 386-4040 for assistance with correcting your SSN.

Requesting an Exam and Payment

1. What are the sponsorship requirements for FINRA qualification exams?

FINRA will require sponsorship approval by a regulatory agency (as listed in TESS during an enrollment request) in order to approve an enrollment request for any FINRA qualification exam. An enrollment request will not be approved until the necessary authorization is provided directly to FINRA by the appropriate regulatory authority. If the required authorization is not received from the appropriate regulatory authority within 30 days of the date of request, then the enrollment request will not be approved and any payments made will not be refunded.

2. Why isn’t the system allowing me to select a particular exam?

You may not be able to request a particular exam for one of the following reasons:

  • You already have an open enrollment for this exam. Please check the “My Exams” page.
  • You have passed this exam within the last two years. In that case, you are not allowed to retake it. Please review the “My Exams” page for your exam history.
  • You may have been registered by a firm in the Web CRD system. Please contact your firm about enrolling for an exam.

3. What happens if I disagree to the Rules of Conduct or the Payment Agreement while requesting an enrollment?

You are required to agree to these agreements before you can request an enrollment.

4. I submitted an exam request and received a payment confirmation email, but the exam is not showing up on the “My Exams” page. What should I do?

Please contact the FINRA Support Center at (240) 386-4040 and provide the payment confirmation number.

5. What forms of payment are accepted?

TESS accepts credit cards, debit cards and Automated Clearing House (ACH). Please note that ACH requests may take additional time (typically up to 48 hours) to process. Information is transmitted to FINRA using an encrypted connection, which ensures that your information is encrypted during transmission. Once the payment has been successfully submitted for an enrollment request through TESS, a confirmation email will be sent to you using the email address provided during registration.

6. If I decide not to take the exam I requested, can I get a refund?

Once payment for an enrollment request through TESS has been processed, refund requests are not accepted. Payments cannot be transferred to another exam for yourself or another individual.

My Exam Requests

1. My request is displaying a “Pending FINRA Review” status. What does that mean?

“Pending FINRA Review” status means that FINRA is reviewing your enrollment request. Requests are typically processed within two business days. For exams requiring sponsorship, the requests are not processed until the required information is received. If the required information is not received within 30 days, the request will be denied and the payment will not be refunded.

2. My request is displaying a “Processing Request” status. What should I do?

“Processing Request” status means that TESS is processing your enrollment request, and the status will be updated as soon as the processing is complete, typically within one business day. Please check back for an update, or wait for the email notification.

3. My request is displaying a “Denied” status. What does that mean?

Your request has been denied because you did not meet the requirements to take this exam.

4. Why is my exam window start date in the future?

Exams have waiting periods for individuals who have previously failed the exam. The window start date takes into account these waiting periods.

Scheduling an Appointment and Exam Results

1. How do I schedule or reschedule an appointment?

Once the enrollment is approved, it is valid for 120 calendar days. If your exam is available for scheduling, you should see a “Schedule Exam” button on the My Exams page in TESS. View more information about scheduling, rescheduling or canceling your appointment.

If you do not see the “Schedule Exam” button, please refer to the request status-related FAQs under “My Exam Requests.”

2. What information is needed to schedule an appointment?

At the time of scheduling an appointment, you are required to provide your last name, first name and ID number to check for eligibility. Each individual who enrolls through TESS is assigned a unique ID number. This number will be included in the Notice of Enrollment email sent upon the enrollment request approval and is also displayed on the “My Profile” page in TESS.

If you have registered through the U10 system in the past, the same ID number is associated with your TESS profile.

3. I need an accommodation to take my exam. How can I apply?

View our testing accommodations page for more information on obtaining accommodations. If you are requesting accommodations, please do not schedule an appointment until the request is processed.

4. Where can I find my test results?

Within 72 hours of completing the exam, TESS will display the exam result and the test date under “My Exams.”

5. How can I get a copy of my score report? 

Please contact FINRA Support Center at (240) 386-4040 to request a copy of your score report.

6. I failed the exam or my exam window expired. What should I do to retake the exam?

You must resubmit the enrollment request through TESS and submit payment information for the new exam enrollment.

FINRA Support Center

1. Who can I contact if I have additional questions? 

The FINRA Support Center is available at (240) 386-4040 Monday through Friday, 8 a.m. to 8 p.m. ET.