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1. www.investopedia.com › 07 › securities_licensesWhat Are Financial Securities Licenses? - Investopedia

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   May 3, 2023 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.

2. www.finra.org › registration-exams-ceQualification Exams | FINRA.org

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   To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.

3. www.kaplanfinancial.com › resources › gettingHow to Get a Securities License - Kaplan Financial Education

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   Apr 12, 2024 · To earn your Series 6, 7, 22, 57, 79, 82, and 99 license, you’ll need to pass the SIE exam and take the FINRA “top-off” exam for each license type. FINRA says that the exams are "corequisites," but that does not mean you have to take both at the same time.

4. www.pocketprep.com › posts › which-finra-seriesWhich FINRA Series License Is Right For You? - Pocket Prep

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   Apr 17, 2020 · Figuring out which Series exam and licensure is right for you can be a bit overwhelming. We teamed up with a practicing Certified Public Accountant and finance professional to explain the differences between some of the most popular FINRA Series licenses available today to help you decide which one is right for you.

5. www.kaplanfinancial.com › resources › gettingWhat is the SIE Exam? - Kaplan Financial Education

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   Apr 9, 2019 · As of October 1, 2018, all FINRA's new SIE Exam will be the gateway to earning a securities license. Learn all about the exam and how it affects the licensing process.

6. smartasset.com › financial-advisor › securities-licenseA Guide to the Biggest Securities Licenses - SmartAsset

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   Dec 22, 2022 · Selling securities or financially advising clients requires a license, and which license a professional needs depends on a number of factors, including what type of securities are being offered for sale, what type of financial transaction is being conducted and the advice being given.

7. People also ask

   What is a series 31 license?

   • An offshoot of this license is the Series 31 license, which allows representatives to sell managed futures (pooled groups of commodities futures similar to mutual funds). The Securities Industry Essentials (SIE) Exam is a FINRA exam for prospective securities industry professionals.

   What Are Financial Securities Licenses? - Investopedia

   www.investopedia.com/articles/financialcareers/07/securities_licenses.asp

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   What is a series 9 & 10 license?

   • Having Series 9 and 10 licenses allow you to supervise sales activity around equity options, mortgage-backed securities, and municipal securities. Prior to taking these exams, you must have passed both the SIE and Series 7 exams and be sponsored by a member FINRA firm.

   Which FINRA Series License Is Right For You? - Pocket Prep

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   What is a series 6 license?

   • The Series 6 exam is 90 minutes long and covers information regarding packaged investments, securities regulations, and ethics. This license is also required for insurance agents that sell variable investment products. Principals who supervise representatives holding a Series 6 license must obtain the Series 26 license in addition to the Series 6.

   What Are Financial Securities Licenses? - Investopedia

   www.investopedia.com/articles/financialcareers/07/securities_licenses.asp

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   What is a series 63 license?

   • The Series 63 license, known as the Uniform Securities Agent license, is required by each state where licensees conduct business. All Series 6 and Series 7 licensees must carry this license. The provisions of the Uniform Securities Act are included in the 75-minute exam.

   What Are Financial Securities Licenses? - Investopedia

   www.investopedia.com/articles/financialcareers/07/securities_licenses.asp

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   What is a series 7 license?

   • The Series 7 license is the general securities representative (GS) license. Those who carry this license are officially listed as "registered representatives" by FINRA and referred to as stockbrokers. Many insurance agents and financial planners also hold the Series 7 license to facilitate transactions inherent in their businesses.

   What Are Financial Securities Licenses? - Investopedia

   www.investopedia.com/articles/financialcareers/07/securities_licenses.asp

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   Do I need a series 65 license?

   • A Series 65 license can help you advance in the financial services industry. Similar to the Series 63 exam, there is no sponsorship requirement. If you are planning to move up from a sales position to a supervisory role within general securities, you will need to take both the Series 9 and 10 exams.

   Which FINRA Series License Is Right For You? - Pocket Prep

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

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   Apr 1, 2024 · Here are 17 FINRA series licenses you can earn after completing the corresponding exam: 1. Series 6 - Investment Company and Variable Contracts Products Representative.