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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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How to Prepare For FINRA Series 7 Certification Exam
Preparation Guide for FINRA Series 7 Certification Exam
FINRA Series 7 Certification: Tips to survive if you don't have time to read all the page
The 7 Series review authorizes the holder to sell all types of products in securities, with the exception of commodities and futures. Officially known as the General Qualifying Examination for Securities Representatives, the Series 7 exam and its accreditation are managed by the Financial Sector Regulatory Authority (FINRA).
In the United States, stockbrokers must pass the Series 7 exam to obtain a commercial license. The 7 Series review focuses on investment risk, taxation, securities, and debt securities; securities, options, pension plans, and customer interactions.
In 2019, FINRA launched a distribution on 1 October 2018. of potential securities professionals. This introductory exam assesses a candidate's knowledge of basic information in the securities sector, including basic concepts for working in the sector
The purpose of the Series 7 license is to define a level of competence for a registered representative or securities dealer working in the securities sector. The 7 Series license is an essential requirement for a novice broker. The licensing exam covers a wide range of financial conditions and matters as well as the regulation of securities.
Candidates who pass the Series 7 exam can negotiate many securities, such as shares, mutual funds, options, municipal securities and variable contracts. The Series 7 license does not cover the sale of real estate or life insurance products. In addition to obtaining the Series 7 license, many states require registered representatives to take the Series 63 exam, also known as the state uniform agent law exam.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Order types and execution procedures - Recordkeeping and reporting requirements - Handling errors and discrepancies - Trade settlement and confirmation |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Prospecting and sales practices - Identification of potential customers - Regulatory requirements for communications with the public |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Types of accounts and ownership structures - Customer information collection - Determining investment suitability - Account documentation and regulatory compliance |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Taxation and regulatory rules - Municipal securities - Characteristics of equity securities - Debt securities and government obligations - Investment company securities and variable contracts - Portfolio analysis and risk management - Options and derivative products - Direct participation programs |
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