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  1. www.finra.org › registered-financial-professionalsRegistered Financial Professionals | FINRA.org

    Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities—stocks, bonds, mutual funds and certain other investment products —on behalf of their customers (as broker), for their own accounts (as dealer) or both. Commonly referred to as ...

  2. www.investopedia.com › terms › rRegistered Representative (RR): Definition, Job Description, Pay

    • What Is A Registered Representative
    • Understanding Registered Representatives
    • Standards For Registered Representatives
    • Identifying A Registered Representative
    • Past Activities That Can Disqualify You
    • The Bottom Line

    A registered representative (RR) is a person who works for a client-facing financial firm such as a brokerage companyand serves as a representative for clients who are trading investment products and securities. Registered representatives may be employed as brokers, financial advisors, or portfolio managers. Registered representatives must pass lic...

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    Registered representatives can buy and sell securities for clients. They are primarily known as transaction-based service providers. To carry out these transactions a registered representative must be licensed to sell the designated securities. They must also be sponsored by a firm registered with FINRA. To become licensed as a registered represent...

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    Investors seek registered representatives to carry out financial market transactions on their behalf as brokers (or "agents"). Registered representatives typically have access to a full range of market trading capabilities that fit the needs of their investors. They may also be able to execute thinly traded securities or have access to new securiti...

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    Investors seeking the services of a registered representative will find a range of options in the investment market. Companies like Charles Schwab offer discounts and full-service brokerage services. With Charles Schwab, for instance, an investor can place electronic trades at a discounted cost. The discount brokerage service offers a registered re...

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    There are several events that could either prevent a person from becoming a registered representative, or that would result in the loss of membership or registration. According to FINRA, you could be subject to a "statutory disqualification" under the Securities Exchange Act of 1934if you meet a number of criteria. The full, specific list of criter...

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    A registered representative is a licensed financial professional authorized to buy and sell securities on behalf of clients. Their job entails providing investment advice, executing trades, and managing client portfolios. Correction—Sep. 10, 2022: A previous version of this article misstated the requirements for the Series 7 exam.

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  4. www.finra.org › registration-exams-ceFINRA Qualification and Registration Requirements Frequently ...

    • Former, Current and Future Registrants. 1.1 Our firm is considering whether, on or after October 1, 2018, to reregister as representatives several individuals whose registrations were last terminated prior to October 1, 2018.
    • Permissive Registrations. 2.1 An individual registered as a Research Principal and working in our research department will be fully transferring to our parent company, a broker-dealer in Germany, at some point after October 1, 2018.
    • Financial Services Affiliate Waiver Program. Note: The Financial Services Affiliate Waiver Program (FSAWP) stopped accepting new participants on March 15, 2022.
    • Principal Financial Officer and Principal Operations Officer. 4.1 Our firm is an introducing broker-dealer. We have designated an individual as our Financial and Operations Principal (FINOP) to carry out the financial and operational responsibilities specified in FINRA Rule 1220(a)(4)(A).

  5. www.kaplanfinancial.com › resources › gettingWhat is a Registered Representative? | Definition | Kaplan

    Feb 24, 2020 · February 24, 2020. “Registered representative” is a term that describes someone who is licensed to buy and sell securities for clients and is sponsored by a firm registered with the Financial Industry Regulatory Authority (FINRA). Registered representatives are more commonly referred to as stockbrokers. This article explains what a ...

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  7. www.kaplanfinancial.com › resources › gettingHow to Become a Registered Representative | 5 Steps - Kaplan ...

    Apr 9, 2019 · Step 1: Sit for and Pass the SIE Exam. In 2018, FINRA initiated a new introductory step in the process of earning a securities license and becoming a registered representative in the form of a new exam called the Securities Industry Essentials (SIE) exam. If you are seeking a securities license with an exam window that opens after October 1 ...

  8. www.indeed.com › career-development › finra-licenseWhat Is a FINRA License? (17 Types of FINRA Exams) - Indeed

    Apr 1, 2024 · The Series 9 exam is one hour and 30 minutes long, has 55 questions and costs $130. The Series 10 exam is four hours long, has 145 questions and costs $175. Eligibility requirements include: Sponsorship from and association with a FINRA member or SRO. A passing grade on the SIE exam. A passing grade on the Series 7 exam.