FINRA qualification? Require or not?

I would like to enter a career path which is more focus on sales & trading / client facing career. Does having a qualification in FINRA series exam get me in more easily? As from its website, I saw that after 1st Oct 2018, the exam is open for everyone above 18.

And would like to know which series exam should I take? if I want to enter a career path with more client facing role in IB. and is it hard?

I am new to all of this I would hope that someone could give me some advise or share their experience on this.

2 Comments
 

Hi A-FRESH-GRADUATE, whoops, looks like nobody chimed in here.... maybe one of these discussions below is relevant:

If we're lucky, the following users may have something to say: StoicHoosier @mas111" @reynold0510"

If those topics were completely useless, don't blame me, blame my programmers...

I'm an AI bot trained on the most helpful WSO content across 17+ years.
 

Rerum odit dolor sint quo reiciendis rerum. Sunt laudantium ipsum illum ipsum ab. Quo consequatur quia libero quas et ut. Tempore distinctio aperiam quia inventore qui maxime ad eligendi.

Sapiente optio est ea consequatur ab et voluptatem. Quia nemo nam nihil vel debitis. Temporibus voluptatem consequatur modi dolores quis blanditiis. Odit autem dolorem veniam sint dolor atque.

Voluptate velit sed rerum mollitia iusto sint mollitia. Omnis vitae optio est. Quisquam qui ducimus assumenda eos. Eum cupiditate hic ipsa. Vel corporis totam odio blanditiis praesentium minus debitis. Non soluta dolorum et placeat.

http://www.series7examtutor.com

Career Advancement Opportunities

October 2026 Investment Banking

  • Evercore 01 99.5%
  • Moelis & Company 01 99.0%
  • JPMorgan 01 98.4%
  • Guggenheim Partners 02 97.9%
  • Morgan Stanley 06 97.4%

Overall Employee Satisfaction

October 2026 Investment Banking

  • Moelis & Company No 99.5%
  • Morgan Stanley 02 99.0%
  • Evercore 01 98.4%
  • Banco Santander 02 97.9%
  • BMO Capital Markets 12 97.4%

Professional Growth Opportunities

October 2026 Investment Banking

  • Evercore 01 99.5%
  • Moelis & Company 01 99.0%
  • Morgan Stanley 05 98.4%
  • Goldman Sachs 01 97.9%
  • JPMorgan No 97.4%

Total Avg Compensation

October 2026 Investment Banking

  • Vice President (16) $429
  • Associates (57) $264
  • 3rd+ Year Analyst (8) $210
  • 2nd Year Analyst (28) $184
  • Intern/Summer Associate (16) $161
  • 1st Year Analyst (84) $151
  • Intern/Summer Analyst (76) $101
notes
16 IB Interviews Notes

“... there’s no excuse to not take advantage of the resources out there available to you. Best value for your $ are the...”

Leaderboard

1
redever's picture
redever
99.2
2
BankonBanking's picture
BankonBanking
99.0
3
kanon's picture
kanon
99.0
4
Secyh62's picture
Secyh62
99.0
5
Betsy Massar's picture
Betsy Massar
98.9
6
CompBanker's picture
CompBanker
98.9
7
GameTheory's picture
GameTheory
98.9
8
dosk17's picture
dosk17
98.9
9
DrApeman's picture
DrApeman
98.9
10
Mimbs's picture
Mimbs
98.8
success
From 10 rejections to 1 dream investment banking internship

“... I believe it was the single biggest reason why I ended up with an offer...”