Nov 30, 2012

Question for those with Series 7 certification

I recently landed a high paying job with a well know financial institution that is going to sponsor me to take the Series 7 exam at some point in 2013.

As someone who has no/minimal knowledge of the topics that are on the exam, how realistic is it to go from know-nothing to passing the exam? Or is my situation fairly common?

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Class of '28 Jul 2026 Cohort

5.00/5

Investment Banking Mock Interview

“The questions were amazing and genuinely challenging, which made the session extremely valuable for me. Going into the mock interview, I felt that I had memorized and understood most of the critical technical concepts, but Julius pushed me beyond the surface-level knowledge and went much deeper into the accounting side. That was especially helpful because it showed me the difference between simply knowing the main concepts and being able to confidently explain the details, connections, and reasoning behind them under pressure. The behavioral portion was just as useful. Julius gave me very detailed feedback on how I should prepare for questions related specifically to my background, experiences, and story. Rather than only practicing the standard behavioral questions, we discussed how interviewers could dig deeper into different parts of my resume and ask follow-up questions about my academic path, previous experiences, motivations for finance, and the decisions I have made along the way. This helped me understand that I need to be prepared not only with strong initial answers, but also with clear and thoughtful explanations for almost every important part of my background. One of the biggest takeaways from the session was identifying the areas where I should spend more time developing a deeper level of understanding instead of relying on memorization. Julius was very good at asking follow-up questions that tested whether I actually understood the underlying concepts, which gave me a much clearer picture of what a real interview could feel like. We also created a longer-term preparation plan together. Our goal is to work together approximately once every two to three weeks and use each session to focus deeply on a particular topic. Instead of trying to cover everything at once, we will gradually specialize in different areas and build my knowledge step by step, while continuing to work on behavioral questions and my overall interview story. I think this structure will be extremely helpful because it gives me enough time between sessions to study independently, address the weaknesses we identify, and come back better prepared for the next topic. Overall, the session gave me a much better understanding of where I currently stand, what interviewers may expect from me, and what I need to improve before recruiting begins. I left the session with very clear action items and a much more structured approach to my preparation.”

Class of '29 Oct 2026 Cohort

5.00/5

Investment Banking Mock Coffee Chat

“Kevin was incredibly helpful. He took the time to do a coffee chat with me and was candid about where I could improve. His main point was that I should build more knowledge of the industry before these conversations, so I can ask sharper questions and show I've done my homework. He also gave me a clear framework for the conversation itself. Start by asking about their background and how they got into their role. Then ask for advice for my field, including what they would do in my shoes. He also explained when it is and isn't appropriate to ask for a referral, which is something I hadn't thought through before. ”

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6 Comments

ER_Monkey

13y

Series 7 is easy. Just read the materials they give you or do the practice tests.

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Net Operating Loss Carryforward For Corporations

freemarketeer

13y

Depending on your role, you might not need to know anything on the exam ever again. Skim the material and spend a lot of time on the questions/practice tests. Spend 1-2 hours a day on it, you can get it done in a month.

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Authored by: Certified Corporate Development Professional - 1st Year AnalystCertified Corporate Development Pro

Iamtheliquor

13y

Ok, thanks guys. Any one else with input?

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https://www.wallstreetoasis.com/resources/skills/economics/vertical-equity

series7examtutor

13y

It is not as easy as some people suggest, especially for someone with no investment knowledge or experience. Don't take it lightly. Study until you are getting at least 80% on practice tests. By the way, your background is not unusual. Many people who take the test are in the process of changing careers.

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http://www.series7examtutor.com

Sejara

13y

Since you don't have much experience with the industry, studying will be crucial to your passing the exam.

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Authored by: Certified Hedge Fund Professional - Trading AssistantCertified Hedge Fund Pro

NorthSider

13y

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Question for those with Series 7 certification

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Question for those with Series 7 certification

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