Professional Education FAQs

  1. Where can I look for a financial planner?

  2. If I am looking to get an Investment Banking job. What education do employers prefer? MBA or CFA?

  3. Can I still pass the CFA Level I if I do poorly in the ethics section?

  4. A sales representative is permitted to take all of the following actions EXCEPT:

  5. Transactions are exempt from registration where …

  6. What certification series does one need to be a bond broker?

  7. All of the following are allowable deductions used in determining taxable estate EXCEPT

  8. Investment advisors must register with the SEC when their assets under management total what amount?

  9. What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?

  10. How do I find a testing facility in my area?

  11. Is it possible to take the Series 6 exam without being sponsored?

  12. I failed the Series 7 exam. How long must I wait before I can take it again?

  13. When must the required three years of qualifying work experience be completed in order to become a CFA charterholder?

  14. Which popular professional certification exams do not require sponsorship?

  15. Do I need to be sponsored or employed by a member firm in order to write the Series 66 exam?

  16. I am not currently employed at a member firm, but I have independently written the Series 63 exam. How do I keep this status valid?

  17. What personal items am I allowed to bring with me into the CFA exam testing room?

  18. How can I withdraw from my CFA Level 1 exam?

  19. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

  20. Is it possible to take the Series 7 exam without being sponsored?

  21. Can I bring food and drink into the CFA testing room?

  22. How do I register for the CFA program for the first time?

  23. How long will my Series 7 license last after my employment has been terminated at a member firm?

  24. Do I have to successfully complete the Series 7 exam before I can register for the Series 63 exam?

  25. If I do not have a U.S. Bachelor's Degree or equivalent, can I still qualify for registration in the CFA program?

  26. I have not received my Series 7 exam certificate. Where can I obtain it?

  27. If I already hold a professional certification am I eligible for any exemptions from CFA Program requirements?

  28. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

  29. I am interested in pursing the CFA charter, but I do not have a degree in business and have not worked within the financial or investment environment. Do I still have a chance of successfully completing the course?

  30. I hold a professional degree. Am I eligible to sit for the Certified Financial Planner (CFP)certification examination?

  31. If I have already completed the Series 6 examination, do I have to complete the entire Series 7, or can I take a modified version?

  32. Is there any difference between a holder of a Chartered Financial Analyst Designation and a Certified Financial Analyst?

  33. Where are the testing centers for the Series 7 examination?

  34. What type of work experience can count towards the work experience required in order to obtain the CFA charter?

  35. How many attempts at the Series 7 exam are permitted?

  36. Are there any continuing education requirements after I pass the Series 7 examination?

  37. What are the requirements that a trust needs to meet to be qualified?

  38. What forms of ID are acceptable for admittance into the CFA examination room?

  39. Do I need to take the Series 6 examination after I have already successfully completed the Series 7?

  40. Does FINRA make any allowances for people whose first language is not English?

  41. What are the Gnomes of Zurich?

  42. How many attempts at each CFA exam is a candidate permitted?

  43. I am not a resident of the United States, but would like to be qualified as a registered representative in the U.S. Is it still possible for me to write the Series 7 exam?

  44. Do I need to be a U.S. resident to take the Series 63 exam as an individual?

  45. What is the maximum amount of time that can elapse between CFA examinations?

  46. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

  47. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  48. Is it required to order the CFA guides in order to prepare for the CFA?

  49. Which States do not require a Representative to write the Series 63 exam?

  50. Do I need to have my Series 7 license for at least 36 months before I take the Series 9/10 exam?

  51. I have a CFA designation. Do I qualify for any exemptions from FINRA licensing exams?

  52. Do I have to reach a certain age before I can write an NASD exam?

  53. Am I qualified once I complete my FINRA certification exam?

  54. Do I have to complete all exams within a certain period of time to receive the CFA charter?

  55. What careers are popular among CFA charterholders?

  56. How do I receive sponsorship from a member firm in order to write a Series 7 exam?

  57. Where can I find a copy of an old Series 7 exam?

  58. How do I become a CFA charterholder?

  59. Can I obtain my CFA charter without U.S. work experience?

  60. I failed the Series 6 exam. How long must I wait before I can re-take it?

  61. What is the difference between Series 9/10 and Series 24 qualification exams?

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