Do I need to have my Series 7 license for at least 36 months before I take the Series 9/10 exam?

By Shauna Carther AAA
A:

To write the Series 9/10 examination, you are required to have a Series 7 license. However, you do not have to hold the license for any certain period of time before you can write.

The 36-month requirement applies if you would like to become a branch manager for a firm. In this case, the NYSE requires an individual to have held his or her Series 7 license for a period of at least 36 months.

For more on the Series 9/10 exam, click here.



RELATED FAQS

  1. What's the difference between a financial advisor and a financial planner?

    Seeking professional advice from a financial advisor may involve asking for financial help from a certified financial planner, ...
  2. Who is eligible to take out federal student loans?

    Fill out the Free Application for Federal Student Aid every year to determine eligibility for federal aid, including student ...
  3. What are some examples of how I could use my IRA savings for college?

    Use your traditional IRA for qualified college expenses for you or your family. The retirement funds can be used for books, ...
  4. Do real estate agents need a degree?

    Earning a degree is required by many real estate brokerages, as well as by some state's real estate boards. Getting a degree ...
RELATED TERMS
  1. Credit Business Fellow - CBF

    A designation for achievers who have proven knowledge in intermediate ...
  2. Credit Business Associate - CBA

    A designation awarded to those who show mastery in financial ...
  3. Series 79

    A examination to ensure a candidate is qualified to become a ...
  4. Research Analyst

    A person who prepares investigative reports on equity securities. ...
  5. Leadership

    The ability of a company's management to make sound decisions ...
  6. Series 34

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

You May Also Like

Related Articles
  1. Retirement

    Become A Certified Financial Divorce ...

  2. Personal Finance

    Top 6 Ways To Recession-Proof Your Job

  3. Professionals

    Accredited Financial Counselor: An Introduction

  4. Personal Finance

    How To Improve Your Leadership Skills

  5. Professionals

    Introduction To The CAIA Designation

Trading Center