Q:

The Financial Industry Regulatory Authority (FINRA) does not provide candidates with any physical certificate as proof of exam completion.

If current or potential employers wish to view proof of your completion, they have access to this information through the Central Registration Depository (CRD).

In some cases, an employer, sponsor or private company will provide a finance professional (who has successfully completed the Series 7 exam) a certificate of completion. However, FINRA has issued a member alert instructing individuals not to display these documents as they can easily mislead the public. The reasoning behind the no certificate policy is that completion of the Series 7 exam is only a step to becoming a registered representative. Furthermore, it could be displayed as a legitimate document even if a candidate's registration is no longer active.

A:

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