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
--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.