Trending Content
+121 | Which PE Firms are going downhill? | 91 | 1h | |
+37 | Pro tips to exercising during ASO stint | 16 | 17m | |
+30 | Which PE firms are on the rise? | 45 | 22s | |
+19 | Is there any point learning a European language for PE recruiting (London) | 17 | 1d | |
+17 | Private Equity in SEA | 7 | 3d | |
+17 | How to prepare to break into PE | 7 | 39m | |
+14 | Anyone know if search funds would intern a HS junior trying to gain experience | 5 | 6d | |
+14 | Current European Leveraged Financing Terms Superthread | 7 | 15h | |
+13 | Quality of PE Associates | 7 | 2d | |
+13 | Earn-out modeling between seller and buyer | 3 | 16h |
Career Resources
Ugh...
1) Did you think about searching the forum before you posted this? Some Asshole wrote a rather nice post about this and it's still fairly valid today.
2) The Series 7 does not allow you to sell securities. It allows you to put yourself out as a agent who can transact in any securities transaction that does not require a specific license (ie commodities, insurance or real estate) on behalf of others. HOWEVER, you cannot engage in anything on the sell side without having your Series 63 or your Series 66 on top of your Series 7 license. Having authorization to sell (ie Having completed the Series 7) does not mean you can legally do so. This has to do with abiding by the Uniform Securities Act and various Blue Sky Laws enacted throughout the US. Just because you have a license does not mean it's valid without all its parts.
3) Google is your friend. Really... it is.
4) Unless you are an RIA, you don't need any licenses on the buy side except if you are trading anything that is covered by the Series 3. This has to do with the fact that the National Futures Association will not let anyone trade futures or commodities without being Licensed.
Why in gods name would you think you need a license to raise capital for buyside funds anyway?
Voluptates dolores similique perferendis impedit et cum. Inventore molestias rerum est dignissimos est saepe. Iste sed qui dignissimos amet hic. Libero et minus pariatur libero atque distinctio. Id animi id possimus mollitia. Voluptas ipsum consectetur molestiae. Nostrum et tenetur inventore rerum doloribus nihil.
Totam asperiores ea voluptas. Nihil sunt fuga autem reprehenderit. Ut laboriosam commodi quis non et est. Iste ipsum iusto eos eveniet accusamus temporibus. Aut et quis dolor facilis et. Delectus et voluptas aut quos voluptate excepturi.
See All Comments - 100% Free
WSO depends on everyone being able to pitch in when they know something. Unlock with your email and get bonus: 6 financial modeling lessons free ($199 value)
or Unlock with your social account...