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Hey Guys,

I was wondering what license is required to raise funds? I believe the Series 7 is for the sell side - to sell securities, but which one is required to actually approach investors to ask for capital or any other relevant license for the buyside?


2 comments 01 Apr 2015 - takenotes08

I work in the energy industry as an expert on new technologies and am often asked to represent these companies to investors for both project finance and holding company equity raises. Can anyone tell me the broker licenses required to do this without being an employee or directly paid consultant (which in most cases is not viable)

0 comments 09 Mar 2015 - mdhessmrh

Hello All. I am happy to join this forum. I am the co-principal of American Investment Training - A Securities License Training Company. I have personally trained (in the past 15 yrs) tens of thousands of brokers for their Series 7 etc. I am also an affiliate marketer and do recruiting for some of my firms.

I am looking to build relationships, help others with license or career questions and possibly partner with other Brokerage Firms for opportunities. I am very experienced at Internet Marketing in our industry. I'm not sure where to start around here or what I'm allowed to post :) (didn't want to put links or external profiles in on first post) but will try to feel my way around and would certainly take any advice on what sections to pay most attention to.

0 comments 21 Jul 2014 - aitraining

I am trying to take the Series 7 and 66 a year from now and have started studying. I have been looking for a FINRA firm to sponsor me, does anybody know which firms are easier to get sponsorship from? I am still in college and want to have this designation before I graduate or right around the time I graduate, assuming I would pass.

39 comments 08 Apr 2011 - Shiv

Hey all,

I am looking for a way to get sponsored for the Series 79 & Series 63 exams because I'm trying to get an Analyst position in M&A. I have finance experience and want to get 79 & 63 licenses to improve my chances of landing an I-Banking Analyst position.

Anyone here know a firm that sponsors even if you aren't employed withe them?


6 comments 27 Mar 2011 - ap0258