A:

If you are not currently employed by a member firm you can get your exam scores by contacting FINRA in writing and requesting an "individual snapshot." If you are employed, you can contact your registration department for the same information.

If you are not currently registered, you can obtain your individual snapshot for no extra cost. It must be requested by and sent to only you; FINRA stipulates that it will not forward requests to a third party, even if you have authorized it in writing. Keep in mind that if you have not been registered for longer than two years, you may not be able to receive complete registration information.

In your request for your individual snapshot, the following information is required by FINRA:

  • Name.
  • Home address.
  • Social security number or CRD number
  • Your residential fax number (if you want the request by fax).
  • Signature.

To download FINRA's Snapshot Report Request Form, click here.

RELATED FAQS
  1. I am not currently employed at a member firm, but I have independently written the ...

    After you have successfully completed your exam, you have two years to become registered or licensed to prevent your completion ... Read Answer >>
  2. How difficult is the Series 11 exam?

    I am in high school and am interested in taking the Series 11 exam. Obviously, I would study and prepa... Read Answer >>
  3. I have already obtained my Series 7; however, I am no longer working for a member ...

    According to the Financial Industry Regulatory Authority or FINRA, (previously the National Association of Securities Dealers ... Read Answer >>
  4. If my employment with my current firm terminates relatively soon, do I have two years ...

    Yes. When your employment ends with the current firm, your registration with the Financial Industry Regulatory Authority ... Read Answer >>
  5. I decided not to take the Series 63 exam. Can I get a refund?

    Learn about the Series 63 exam's fees and the appropriate steps and requirements for having a refund request approved by ... Read Answer >>
  6. I need special accommodations when taking the Series 63 exam. How are such arrangements ...

    Learn more about special accommodations offered by Series 63 testing sites, and discover how to request special accommodations ... Read Answer >>
Related Articles
  1. Markets

    Steps to Starting Up an Independent Broker Dealer

    Launching your own broker-dealer is a lot of work, but the potential payoff is great, both personally and financially.
  2. Investing

    Identity Theft: Who To Call For Help

    If your identity is stolen, it's critical to act fast. Find out what to do if it happens.
  3. Managing Wealth

    Introduction To The Series 65 Exam

    The Series 65 is required in many states in order to be a fee-based advisor. Find out what it is and whether you need it.
  4. Trading

    Top Strategies on How to Become a Stock Broker

    Gunning to be a stock broker and want an edge? Here's some veteran advice.
  5. Investing

    When You Can't Pay Uncle Sam

    If you can't pay your taxes, there are some steps you can take to protect yourself. Discover your options here.
  6. Personal Finance

    Can't Pay Your Taxes? What to Do Now

    Not enough cash on hand for your April tax bill? No need to panic. Here's what to do.
  7. Markets

    FINRA: How It Protects Investors

    Find out the history of FINRA, and how it's organized to monitor the markets and protect investors.
  8. ETFs & Mutual Funds

    10 Ways To Prepare For A Personal Financial Crisis

    Life is unpredictable, but if there's anything you can do to stave off disaster, it's to be prepared and be careful.
  9. Trading

    Tailoring Your Investment Plan

    Start your own investing adventure with the help of some simple guidelines.
  10. Financial Advisor

    What Financial Advisors and Brokers Need to Know About Rule 407

    Learn about NYSE Rule 407 and how it may impact you as a financial advisor or investment broker. What you don't know about this regulation can hurt you.
RELATED TERMS
  1. Series 27

    A securities license entitling the holder to become a chief financial ...
  2. Series 7

    A general securities registered representative license administered ...
  3. FINRA BrokerCheck

    An information vehicle containing statistics on both past and ...
  4. Series 11 License - Assistant Representative - Order Processing

    A securities license, administered by the Financial Industry ...
  5. Series 23

    An exam offered by the Financial Industry Regulatory Authority ...
  6. Central Registration Depository (CRD)

    A database used by the National Association Of Securities Dealers ...
Hot Definitions
  1. Duration

    A measure of the sensitivity of the price (the value of principal) of a fixed-income investment to a change in interest rates. ...
  2. Dove

    An economic policy advisor who promotes monetary policies that involve the maintenance of low interest rates, believing that ...
  3. Cyclical Stock

    An equity security whose price is affected by ups and downs in the overall economy. Cyclical stocks typically relate to companies ...
  4. Front Running

    The unethical practice of a broker trading an equity based on information from the analyst department before his or her clients ...
  5. After-Hours Trading - AHT

    Trading after regular trading hours on the major exchanges. The increasing popularity of electronic communication networks ...
  6. Omnibus Account

    An account between two futures merchants (brokers). It involves the transaction of individual accounts which are combined ...
Trading Center