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In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.
Obtaining the Series 7 license is an important step for many financial advisors on their climb up the career ladder. But clearing this obstacle is not without its challenges.
The Series 7 license allows professionals to sell securities in the U.S. To obtain it, they must pass a rigorous exam covering various financial topics. Financial Industry Regulatory Authority ...
Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) Series 63 – Uniform Securities Agent State Law Exam *. Series 65 – Uniform Investment Adviser Law Exam *. Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)*. Series 72 – Government Securities – Limited Representative.
A registered representative, also called a general securities representative, a stockbroker, or an account executive, is an individual who is licensed to sell securities and has the legal power of an agent in the United States. Registered representatives usually work for broker/dealers licensed by the U.S. Securities and Exchange Commission ...
Series 6 or Series 7 license from FINRA (specifically for variable annuities) Being licensed ensures that you adhere to regulatory standards and demonstrate your competence to your clients, which ...
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