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. 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 >>
  3. 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 >>
  4. 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 >>
  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. Is it possible to take the Series 7 exam without being sponsored?

    Unfortunately, the answer is "No." The Financial Industry Regulatory Authority or FINRA, (formerly the National Association ... Read Answer >>
Related Articles
  1. Trading Systems & Software

    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. Professionals

    FINRA Conduct Rules

    FINRA Series 6 Exam Study Guide: Section 5 - FINRA Conduct Rules
  3. Professionals

    Reporting Outside Business Activities

    Reporting Outside Business Activities
  4. Professionals

    Rules and By-Laws of FINRA

    FINRA Series 6 Exam Study Guide - Rules and By-Laws of FINRA. This section outlines the FINRA articles of incorporation and explains the FINRA rules and by-laws.
  5. Fundamental Analysis

    FINRA: How It Protects Investors

    Find out the history of FINRA, and how it's organized to monitor the markets and protect investors.
  6. Professionals

    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.
  7. Professionals

    Top Strategies on How to Become a Stock Broker

    Gunning to be a stock broker and want an edge? Here's some veteran advice.
  8. Credit & Loans

    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.
  9. Professionals

    Series 3-Specific Hints

    Series 3-Specific Hints
  10. Financial Advisors

    Why Financial Advisor Background Checks Are Vital

    An alliance of public interest groups is pressuring FINRA to broaden its BrokerCheck tool.
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 ...

You May Also Like

Hot Definitions
  1. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  2. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  3. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  4. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
  5. Society for Worldwide Interbank Financial Telecommunications ...

    A member-owned cooperative that provides safe and secure financial transactions for its members. Established in 1973, the ...
  6. Generally Accepted Accounting Principles - GAAP

    The common set of accounting principles, standards and procedures that companies use to compile their financial statements. ...
Trading Center