The Financial Industry Regulatory Authority (FINRA) administers several professional certification examinations that do not require sponsorship; these include the series 3, 30, 31, 32, 33, 63 and 65 exams. In order to apply you must file Form U-10.

The Certified Financial Planner (CFP) exam, administered by the Certified Financial Planner Board of Standards Inc., does not require sponsorship. Additionally, the CFA Institute does not require a sponsor for the Chartered Financial Advisor (CFA) program.

The Financial Risk Manager (FRM) and Energy Risk Professional (ERP) exams, administered by the Global Association of Risk Professionals, do not require sponsorship.

For Canadians, the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH) exams also do not require a sponsor.




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