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The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]
Series 6 – Investment Company and Variable Contracts Exam (Mutual Funds Broker/Variable Annuities) Series 7 – General Securities Representative Exam (Stockbroker) Series 11 – Assistant Representative – Order Processing; Series 15 – Foreign Currency Options Exam; Series 17 – United Kingdom Securities Representative Exam
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 ...
A Series 6 registered individual is not a stockbroker since Series 6 license holders cannot sell stock, other corporate securities, direct participation programs (DPPs), or option products. This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD).
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.
Continue reading → The post CFP vs. Series 7: Differences and When You Need Each appeared first on SmartAsset Blog. However, the CFP and Series 7 are used for different purposes. A series 7 ...
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