Keyword Analysis & Research: series 7 license

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What jobs can you get with a series 7 license?

While the Series 7 allows you to trade securities, such as stocks, bonds and options, with a Series 24 you'd be a general securities principal able to supervise many bank or brokerage firm activities. Some examples of jobs that require a Series 7 and 24 are: compliance officer, branch manager, sales manager or designated principal.

How can I get a series 7 license?

How to Get Your Series 7 License Take and Pass the SIE Exam. The SIE exam tests common topics such as fundamentals, regulatory agencies and their functions, product knowledge, and acceptable and unacceptable practices. Secure a Sponsorship. To take the Series 7 exam, you must be sponsored by a FINRA member firm or a self-regulatory organization (SRO). Study for the Series 7 Exam. ... More items...

What are the requirements for a series 7 license?

There are no specific education requirements to take the Series 7, but once you are licensed, you still have to complete ongoing continuing education -- that's mandated by FINRA, the Financial Industry Regulatory Authority.

Who issues the series 7 license?

A Series 7 license, issued by the Financial Industry Regulatory Authority, is required to trade in most financial securities. The license has three parts: sponsorship by a FINRA member, the licensing exam and passing the background check. While not an absolute bar, a felony conviction can disrupt and delay this procedure.


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