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Any person who wants to become an investment adviser in California may apply for a certificate by filing an application. The forms and instructions for filing an application are found on our Corporate Securities Law of 1968 forms page .
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.
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Any person who intends to become a broker-dealer in California may apply for a broker-dealer certificate by filing an application. If you are a member of the Financial Industry Regulatory Authority (“FINRA”), the application should be filed directly with the Central Registration Depository (“CRD”).
Registration. Both firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration. Learn more about what it means to be regulated by FINRA.
How do I become eligible to take an FINRA exam? You must be registered for your examination(s) with FINRA and receive authorization from your sponsoring firm prior to scheduling your appointment at a Prometric Testing Center. What time must I arrive at the Testing Center?
May 3, 2023 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
