Series 4

DEFINITION of 'Series 4'

A securities license entitling the holder to supervise options sales personnel and compliance issues. Before taking the Series 4 exam, you must have your Series 7 license.

BREAKING DOWN 'Series 4'

The Series 4 exam is administered by the Financial Industry Regulatory Authority (FINRA) and covers topics such as options strategies, foreign exchange options and taxation.

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RELATED FAQS
  1. What are the differences between the Series 6 exam and the Series 7 exam?

    Learn about the regulatory exams needed to become a limited or registered representative and the main differences between ... Read Answer >>
  2. Do financial advisors have to be licensed?

    Understand why all financial advisors have to be licensed, and identify the specific licenses you must obtain to carry out ... Read Answer >>
  3. Do financial advisors need to pass the Series 7 exam?

    Learn about the various securities licensing exams, such as the Series 7 exam, and which licenses are required for financial ... Read Answer >>
  4. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities ... Read Answer >>
  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 ... Read Answer >>
  6. Do I need to take the Series 6 examination after I have already successfully completed ...

    No. According to the Financial Industry Regulatory Authority (FINRA), (formerly the National Association of Securities Dealers), ... Read Answer >>
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