Q:
Q: Do I need to take the Series 6 examination after I have already successfully completed the Series 7?
A:
No. According to the National Association of Securities Dealers (NASD) you can convert your Series 7 license into a Series 6 license if your registration is still active. If at a later time you would again like to be registered with a Series 7 license, all you need is your firm's permission. You cannot convert from a Series 7 to a 6 license and vice versa if you have not been registered with a member firm for more than two years. In this case you would need to rewrite your Series 7 examination to re-qualify as a general securities registered representative.

MORE FAQS

  1. Do I need to take the Series 6 examination after I have already successfully completed the Series 7?

  2. I completed the Series 6, do I have to complete the entire Series 7?

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

  4. My job with a member firm has recently been terminated and I do not want to write all of my securities exams again. How do I prevent my licenses from expiring?

  5. I have passed the Series 63 and FINRA Series 7, but would like to become licensed as an investment advisor. Should I take the Series 65 or Series 66?

  6. Do I have to successfully complete the Series 7 exam before I can register for the Series 63 exam?

  7. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

  8. What does passing the Series 6 enable me to do?

  9. Are there any continuing education requirements for Series 63 exams?

  10. How many attempts at the Series 7 exam are permitted?

  11. I am not a resident of the United States, but would like to be qualified as a registered representative in the U.S. Is it still possible for me to write the Series 7 exam?

  12. Is a financial advisor required to have a degree?

  13. Does the sponsor for my series 6 exam have to be the company that I work for?

  14. How long will my Series 7 license last after my employment has been terminated at a member firm?

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

  16. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  17. Where do I take the Series 63 examination?

  18. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

  19. Do I need a class to take the Series 63 exam?

  20. I am not currently employed at a member firm, but I have independently written the Series 63 exam. How do I keep this status valid?

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