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What Finra Licenses Are Needed?
Would like guide to FINRA licenses for when and why to get them. Then I'll repost a "Guide to FINRA Licenses" for those like me that are in college and what to find out which ones we may need one day.
What type of regulatory licenses are necessary?
Institutional Business Development role at Private Markets Fund of Fund's firm, what regulatory licenses are mandatory?
SIE exam tips / best study guide?
How many hours did you spend studying for the SIE and what is the best study guide? WSO has an SIE that looks great but I was interested in hearing more about the exam as well. Is it hard for someone who graduated with a finance degree? Is it just a lot of terms/vocabulary to memorize? The pass rate...
Licenses for the buyside?
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? Thanks
FINRA License Requirements
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...
Broker Licensing Company Director and Former BD Instructor saying hi and looking for partners maybe. Help with Career Q's
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...
Series 7, 63, 79. Do you need all 3 to be a banker?
I've seen a lot of bankers with all three certifications. Is that because you need all three or most likely because they already had Series 7 & 63 and then had to pick up 79 later?
Bad credit precludes licensing?
Quick question: can a bad credit rating disqualify you from getting a Series 7 or 79 license? TIA
Getting sponsorship to take the Series 7 and Series 66
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...
Series 79 & 63
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...
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