Investment broker licenses

Either find out from your employer or decide for yourself any other licenses you need to earn, and then prepare for them like you did for Series 7 and Series Additional Tips for Success If you want to become a licensed stockbroker, here are some extra tips to help you succeed: If you are still in college or are about to enter college, consider majoring in financial planning, business, finance, economics, or accounting as an undergraduate and possibly continue these studies in graduate school.

Complete an internship. Many brokerage firms and investment banks accept summer interns. Internships help you understand the career and, in some cases, they can serve as an extended job interview. Find a job in a brokerage, asset management firm, or bank. Make sure you can pass a background check , which typically consists of a credit check and a criminal background search.

Many employers will use these checks as a condition of employment. A practice exam closely replicates the degree of difficulty, weighting, and format of the real exam, and you receive a score with diagnostic feedback. The better you perform on a practice exam, the greater your likelihood of passing your licensing exams. Stay calm on exam day. Plan to arrive at the testing center more than 30 minutes beforehand so that you have plenty of time to check in, find where you are supposed to go, and collect your thoughts.

Those that decide to go into business for themselves still need to meet the licensing requirements of their chosen profession; the only real freedom of choice comes in which profession is chosen.

State Requirement. Finra Exams. Financial Advisor Careers. Actively scan device characteristics for identification. Use precise geolocation data. Select personalised content. Create a personalised content profile. Measure ad performance. Select basic ads. Create a personalised ads profile.

Select personalised ads. Apply market research to generate audience insights. Measure content performance. Develop and improve products.

List of Partners vendors. Your Money. Personal Finance. Your Practice. Popular Courses. Financial Advisor Financial Advisor Careers. Table of Contents Expand. Making the Grade. Other Requirements. Securities License FAQs. The Bottom Line. Key Takeaways In order to market and sell investments professionally, an individual must obtain a securities license. The licensing exams are not exactly a walk in the park.

You need to study with purpose and planning. To help you out, many retail brokerage firms have an in-house training program or, in some cases, they have an agreement with an external training provider. Exam preparation and review courses go a long way toward helping you pass your exams the first time.

Simply visit this page. It also presents a score profile that shows your performance based on the job responsibilities covered by the exam. The percentage required for passing varies. Click here to register. Sign in. Log into your account. Password recovery. Recover your password. Nearly there! If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: subscriptions peimedia.