Q:

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step to becoming a registered representative; furthermore, it could be displayed even if a candidate's registration is no longer active.

A:

RELATED FAQS

  1. Where do I get a certificate or other evidence of passing the Series 63 exam?

    Learn more about the use of Series 63 exam results and how passing information is provided to regulators and employers. Find ...
  2. Do I have to successfully complete the Series 7 exam before I can register for the ...

    There are no prerequisites to register for the Series 63 exam. However, once you have registered for the exam, you must schedule ...
  3. Do I need to be sponsored or employed by a member firm in order to write the Series ...

    You do not need to be sponsored by a member firm in order to write the Series 66 exam. However, it is important to remember ...
  4. Do I need to be a U.S. citizen to sit for any NASD examinations?

    No. The National Association of Securities Dealers (NASD) does not require a candidate to be a U.S. citizen to sit for an ...
  5. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

    Becoming an investment adviser representative requires more examination than just taking the FINRA Series 63 exam. See what ...
  6. What certification series does one need to be a bond broker?

    One major requirement before one can become a bond broker is to pass the General Securities Representative Exam, commonly ...
RELATED TERMS
  1. Series 66

    An exam administered by the Financial Industry Regulatory Authority ...
  2. Series 63

    A securities license entitling the holder to solicit orders for ...
  3. Series 24

    A securities license entitling the holder to supervise and manage ...
  4. Series 34

    An exam required for individuals seeking to engage in off-exchange ...
  5. Series 7

    A general securities registered representative license administered ...
  6. Series 65

    A securities license required by most U.S. states for individuals ...
Hot Definitions
  1. Fiduciary

    A fiduciary is a person who acts on behalf of another person, or persons to manage assets.
  2. Sharpe Ratio

    The Sharpe Ratio is a measure for calculating risk-adjusted return, and this ratio has become the industry standard for such ...
  3. Death Taxes

    Taxes imposed by the federal and/or state government on someone's estate upon their death. These taxes are levied on the ...
  4. Retained Earnings

    Retained earnings is the percentage of net earnings not paid out as dividends, but retained by the company to be reinvested ...
  5. Demand Elasticity

    In economics, the demand elasticity refers to how sensitive the demand for a good is to changes in other economic variables. ...
  6. Dark Pool

    A dark pool is a private financial forum or exchange for trading securities.
Trading Center