Frequently Asked Question

February 26 2009  |  Filed Under » ,

I have not received my Series 7 exam certificate. Where can I obtain it?


The National Association of Securities Dealers (NASD) does not provide candidates with any physical certificate signifying the completion of the exam.

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, the NASD has issued a member alert instructing individuals not to display these documents as they can easily mislead the public. The reasoning behind no certificate is that completion of the Series 7 exam is only a step to becoming a registered representative; furthermore, it could be displayed even if a candidate's registration is no longer active.
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by

Shauna Carther

Shauna Carther
Shauna Carther is the vice president of content at Investopedia.com. In 2007, she appeared as a guest on Moneytrack, a Public Broadcasting Service program devoted to helping consumers learn to invest and take control of their finances.
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