How to book FINRA Series 7 Certification Exams
Applicants wishing to take the Series 7 exam must be sponsored by a FINRA member company and FINRA has other Series 7 eligibility requirements. The company must submit a U4 form (uniform registration application in the field of qualifications) to register the candidate for the license exam. FINRA regulates the activities of brokerage firms and registered brokers, ensuring that anyone who sells securities products is qualified and tested.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
The benefit in Obtaining the FINRA Series 7 Certification Exam
The advantage of the Series 7 license is that it allows you to sell different types of products in securities, with the exception of commodities and futures. Series 7 license is valid for the entire period you work for a FINRA member company or self-regulatory organization (SRO).
Consider if you are working for a mutual fund company as a fund manager. Mutual fund managers buy and sell shares on behalf of subscribers, based on the stated objectives and strategies of each fund they supervise. If you win Series 7 and 66 before you have enough experience to work like a mutual fund manager, enter the door of a mutual fund company as a stock market researcher or analyst, so progress in exceptional performance.
Consider if you are working as a financial advisor for a financial services company. Financial advisors work directly with individual clients in the consumer or corporate segment, rather than grouping funds from many clients such as mutual funds. Financial advisors can be paid commissions based on the different financial products they sell, or they can be paid with a fixed commission based on the dollar amount of the assets they manage. As an action-oriented consultant, look for a position that you pay yourself on a flat rate basis, as this will allow you to earn more money over time by increasing your clients' wealth. Get the Chartered Financial Planner (CFP) designation before working as a financial advisor or find a company willing to sponsor you to take the exam after your arrival on board.
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Topics of FINRA Series 7 Certification Exam
Candidates must know the exam topics before they start of preparation. Because it will really help them in hitting the core. Our FINRA Series 7 exam dumps will include the following topics:
- Interactions with clients
- Investment risk
- Taxation
- Packaged Securities
- Retirement plans
- Options
- Equity, and debt instruments
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | |
| Topic 2: Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions |
