In that case, you could find someone willing to sponsor you for the exam. How to get sponsorship for the series 7 knopman marks. Yes, this is annoying for both employees and employers. List of sponsors for the series 7 exam, clearing house firms for independent brokers, how to choose the right firm, current series 7 test outline and much more. Ability to obtain active state variable life and health license with. The series 7, also known as the general securities representative exam gsre, is a test for registered representatives, or stockbrokers to get their license to trade. View all aig jobs in boca raton, fl boca raton jobs. These days, however, the nasd is known as the financial industry regulatory authority finra, and it absolutely requires sponsorship for the purpose of obtaining a series 7 license. I have been looking for a finra firm to sponsor me, does anybody know which firms are easier to get sponsorship from. Once you secure your sponsorship, you can take the topoff exam for the series 7 license.
Sitting for this exam requires sponsorship by a finra financial industry regulatory authority member firm. I registered to take the series 7 exam with my firm a few weeks ago, got my. Series 7 is not really education that you will find useful at all in being a trader. Get the how to become a successful broker and advisor guide book. How to get your series 7 license kaplan financial education. Series 7 exam and become a registered representative, you need a sponsor. The licensing exam is not exactly a walk in the park. Most candidates also choose to take the sie before they take the series 7, but you can take it first if you prefer and the sie afterwards.
Most of the series 7 is just understanding what the products are your fiduciary responsibilities with clients and their money. I am trying to take the series 7 and 66 a year from now and have started studying. I am still in college and want to have this designation before i. The series 7 license is known as the general securities registered. Apply to financial professional, research associate, financial planning analyst and more.
Can i take the series 7 exam without a company sponsoring me. Series 7 license how do i get one without sponsorship. Often companies that are willing to sponsor you to sit for the series 7 exam will mention this directly. It is a 6 hour exam held in 2 3hour sessions with 260 questions, with only 250 counting towards your score. Yes, you must be sponsored by a finramember firm in order to take the series 7 exam. Series 7, 22, 24, 79, and 82, which cover registrations for private placements, investment banking, and the supervising principal roles for. Solicit sro or finra member companies for employment that offers sponsorship opportunities. Getting sponsorship to take the series 7 and series 66. Series 7, 22, 24, 79, and 82, which cover registrations for private placements, investment banking, and the supervising principal roles for both. Series 7 exam sponsorship general securities representative exam gs a candidate who passes the series 7 exam is qualified for the solicitation, purchase andor sale of all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts. Firms apply for candidates to take the exam by filing a uniform application for security industry registration or transfer form u4. To take the series 7 exam, you must be sponsored by a finra member firm or a selfregulatory organization sro. Some of the many exams that may be required are the series 7, securities industry essential sie exam or 82.
Find companies that routinely sponsor series 7 candidates and search for employment opportunities with these firms. Firms apply for candidates to take the exam by filing a uniform application. Proactively submit your resume and a cover letter that states your series 7 desire. A candidate who passes the series 7 exam is qualified for the solicitation, purchase andor sale of all securities products, including corporate securities, municipal.
There was a time when the former national association of security dealers nasd allowed individuals to take the series 7 examination and obtain a license without being formally sponsored by a registered entity. Apply to financial advisor, financial professional, enrollment advisor and more. How to get a series 7 license if im not employed career. Series 7 sponsorship get sponsorship for the series 7 exam. There is also an exam fee that is commonly covered by the sponsoring firm. Study for the series 7 exam, once you find someone who is willing to sponsor you. Series 6 and series 7 sponsorship and our firm will consider being a sponsor for the series 24 and pay for the exam.
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