Post by cxgllc on Apr 10, 2019 7:13:21 GMT -5
Holding a FINRA license is in reality passing an exam and being registered with FINRA through a BD. Different licenses allow you to perform different functions. A Series 7 exam (General Securities Representative)allows you to solicit and interact with customers regarding just about any security in the U.S. If you just want to sell Mutual Funds or Annuities you could take the Series 6 (Limited representative). Those 2 are really the starting points for entering the industry.
FINRA creates new licenses quite often and one that is pretty recent is the Series 99 that is essentially for back office personnel(non-sales). If you get registered with a Series 7 license than you can elect to have the Series 99 exam waived.
Broker Dealer for Sale| Hedge Fund Compliance
FINRA creates new licenses quite often and one that is pretty recent is the Series 99 that is essentially for back office personnel(non-sales). If you get registered with a Series 7 license than you can elect to have the Series 99 exam waived.
Broker Dealer for Sale| Hedge Fund Compliance