Q:

Even if you have completed your Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers or the NASD) qualification exam--such as the Series 6, 7 or 63--you are not yet qualified to operate. Before the state will grant your license, other requirements may need to be satisfied. These include the filing of your U-4 form by your sponsoring firm, a background check, bonding, and the payment of all required fees.

A:

MORE FAQS

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

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

  3. 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?

  4. 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?

  5. I completed the Series 6, do I have to complete the entire Series 7?

  6. I want to start my own brokerage company, how do I become a member of FINRA?

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

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

  9. Q: Do I need to take the Series 6 examination after I have already successfully completed the Series ...

  10. What are the differences between the Series 6 exam and the Series 7 exam?

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

  12. My job with a member firm has recently been terminated and I do not want to write all of my securities exams again. How do I prevent my licenses from expiring?

  13. 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?

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

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

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RELATED FAQS

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

    Unfortunately, the answer to this question is "No." The Financial Industry Regulatory Authority or FINRA (previously the ...
  2. 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 ...
  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 ...
  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 ...
  5. I completed the Series 6, do I have to complete the entire Series 7?

    After having written the Series 6 examination, there would be significant overlap with the Series 7 in areas such as mutual ...
  6. I want to start my own brokerage company, how do I become a member of FINRA?

    Before you read on, note that the Financial Industry Regulatory Authority (FINRA), (previously the National Association of ...
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