Do I need to take a series exam as a corporate banker?

Hi all, I got a job as a corporate banking analyst at a middle market bank. Graduated with a finance degree but my finance knowledge is minimal and I have to work extra hard to understand finance topics. Im wondering if corporate bankers have to take the series exam? If so I'd like to get started studying earlier because I will probably need the extra time. Corporate bankers please help thanks.

Comments (5)

May 11, 2017

No. Unless you are pitching securities (not loans/FX/treasury products) you don't need FINRA exams. You probably work for a bank and not a broker-dealer.

    • 1
May 12, 2017

Phew that is a relief thanks for your input

May 12, 2017

It depends. At my firm corporate bankers are actively involved in M&A and securities transactions so we are all licensed. If you need the license they will tell you.

    • 1
May 12, 2017

I don't think Ill be working on M&A or equities. I think the most complicated thing I may participate in is a syndicated loan. If it helps, Im working under their "capital markets" group but im under corporate banking

    • 1
May 13, 2017
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