You do not need to be sponsored by a member firm in order to take this exam. They don t have to give clients the best possible investment advice only advice that s reasonable a registered investment adviser on the other hand has a fiduciary responsibility.
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Because the series 7 exam weighs heavily on portfolio building and asset allocation concepts it s best to seek these professionals when considering serious investing or retirement planning decisions.
Investment license series 7. If you want to be a financial planner or advisor who works for an hourly fee rather. It allows its holders to sell packaged investment products such as mutual funds variable annuities and unit. Corporate securities municipal fund securities.
The series 66 exam covers investment vehicle characteristics economic factors business information client investment recommendations and strategies. The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative including. The financial industry regulatory authority finra administers the exam.
Series 66 exam nasaa uniform combined state law exam. The series 7 license is known as the general securities registered representative license and allows you to sell a broad range of securities. Persons who take the series 66 exam must also pass the series 7 exam prior to registering with their state s regulatory commission.
Passing the series 66 exam qualifies a candidate to register as an investment adviser representative and as a securities agent. Learn more about the process of getting your series 7 license from kaplan financial education. But the series 7 license entitles you to work for a broker dealer and a broker dealer doesn t have a fiduciary responsibility to their clients.
Administered by nasaa series 63 is known as the uniform securities agent license. An exam administered by the financial industry regulatory authority finra for individuals seeking to become government securities limited representatives for registered broker. The series 7 exam also known as the general securities representative exam gsre is a test for entry level registered representatives.
The series 6 license is known as the limited investment securities license. If you have a series 6 license or a series 7 license and you want to do business as a stockbroker or sell mutual funds in any state you need this license. The series 7 exam the general securities representative qualification examination gs assesses the competency of an entry level registered representative to perform their job as a general securities representative.
If you do not have plan to get a series 7 license then you should take the series 65 exam instead. Series 7 financial advisors and other practitioners also specialize in building diversified risk assessed investment portfolios for their clients. In the united states financial professionals take this test to become qualified to purchase and or sell security products such as.
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