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How to book FINRA Series 7 Certification Exams
Applicants wishing to take the Series 7 exam must be sponsored by a FINRA member company and FINRA has other Series 7 eligibility requirements. The company must submit a U4 form (uniform registration application in the field of qualifications) to register the candidate for the license exam. FINRA regulates the activities of brokerage firms and registered brokers, ensuring that anyone who sells securities products is qualified and tested.
FINRA Series 7 Certified Professional Salary
The average Salary of a Series 7 Certified Professional Salary in
- United States: 90,000+ USD
- Europe: 35,864 Euro
- India: 12,00,000 INR
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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Introduction to FINRA Series 7 Certification Exam
The Series 7 exam, the General Qualification Representatives Exam (GS) exam, assesses the competence of a registered representative at entry-level to exercise its function as the general representative of qualifications.
The exam measures the extent to which each candidate has the knowledge necessary to perform the essential functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government bonds.
Applicants must successfully complete the Securities Industry Essentials (SIE) and Series 7 exams to obtain registration from the Financial Representative General.
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | |
| Topic 3: Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | |
| Topic 4: Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives |
