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. 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 >>
  3. 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 >>
  4. How do I get my free credit report and score from each credit bureau?

    Learn how to obtain copies of your credit report for free from the three credit bureaus and where you might find your credit ... Read Answer >>
  5. How long is the validity period for a Series 63 exam if I have not been registered?

    Find out how registration begins using Series 63 results and how long scores are valid without registration. Learn more about ... Read Answer >>
  6. Does FINRA make any allowances for people whose first language is not English?

    The Financial Industry Regulatory Authority (FINRA) indicates that if your first language is not English, you may request ... 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

    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.
  3. 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.
  4. Financial Advisors

    Why Financial Advisor Background Checks Are Vital

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

    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.
  6. Personal Finance

    How To Fill Out FMLA Forms

    Family Medical Leave Act paperwork may be onerous, but it can be key to getting that time off.
  7. Options & Futures

    Tailoring Your Investment Plan

    Start your own investing adventure with the help of some simple guidelines.
  8. Budgeting

    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. Options & Futures

    Tips For Resolving Disputes With Your Financial Advisor

    Before you blame your advisor for your losses, be sure you know your rights and responsibilities.
  10. Taxes

    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.
RELATED TERMS
  1. Series 27

    A securities license entitling the holder to become a chief financial ...
  2. FINRA BrokerCheck

    An information vehicle containing statistics on both past and ...
  3. Central Registration Depository (CRD)

    A database used by the National Association Of Securities Dealers ...
  4. Financial Industry Regulatory Authority - FINRA

    A regulatory body created after the merger of the National Association ...
  5. Series 62

    An exam administered by the Financial Industry Regulatory Authority ...
  6. Series 14

    An exam administered by the Financial Industry Regulatory Authority ...
Hot Definitions
  1. Quarter - Q1, Q2, Q3, Q4

    A three-month period on a financial calendar that acts as a basis for the reporting of earnings and the paying of dividends.
  2. Weighted Average Cost Of Capital - WACC

    Weighted average cost of capital (WACC) is a calculation of a firm's cost of capital in which each category of capital is ...
  3. Basis Point (BPS)

    A unit that is equal to 1/100th of 1%, and is used to denote the change in a financial instrument. The basis point is commonly ...
  4. Sharing Economy

    An economic model in which individuals are able to borrow or rent assets owned by someone else.
  5. Unlevered Beta

    A type of metric that compares the risk of an unlevered company to the risk of the market. The unlevered beta is the beta ...
  6. Treasury Inflation Protected Securities - TIPS

    A treasury security that is indexed to inflation in order to protect investors from the negative effects of inflation. TIPS ...
Trading Center