Series 7

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  2. Licensing For Dummies

    Sales and Trading

    Seeing as there have been a few recent posts about the NASD/FINRA Licensing exams, I thought it would be prudent to discuss them with you guys, since most of you monkeys looking for full-time employment on the street will need to take them in some way, sh ...

    59 comments29 Jan 2018 -

  3. How I got into Wall Street and the steps I took

    Job Search Advice

    MOD NOTE: HILARIOUS WSO SPAM FAIL I want to share a great opportunity and my experience with a program I have recently completed. I took a class to attain my license for the Series 7, through a 4 day preparation class and how I got a job through the progr ...

    176 comments23 Mar 2011 -

  4. Getting sponsorship to take the Series 7 and Series 66

    Equity Research

    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 designatio ...

    39 comments19 Jun 2018 -

  5. Series 7 and 63 for Analyst Program

    Asset Management

    Hello, I am starting a full time Analyst position in NYC this summer at a BB Private Bank. I know that I will need to take the Series 7 and pass. When will I need to take the exam (ie. within a few months of my start date)? Can I take it before I start my ...

    20 comments6 May 2020 -

  6. Series 7 and Series 63

    Equity Research

    I recently got offer for equity research. As part of the position, I am required to take the Series 7 and Series 63 exam. How should I prepare for these exams? Are there any good exam prep materials I should use? WSO Series 7 Prep Course Here Series 7 Ser ...

    32 comments2 Aug 2017 -

  7. Who else is studying for Series 7?

    Sales and Trading

    Anybody else in the process of studying? My exam date is Jan 15th and currently studying chapter 12 (municipal securities). I have been making a study guide as I go through each chapter, I can post it if anybody's interested. Having trouble staying f ...

    19 comments2 Aug 2017 -

  8. Series 7- Exam difficulty

    Sales and Trading

    For those of you who have taken the Series 7 and passed it, how difficult is the exam? How long did it take you to study for it? Seems like a ton of material to cover. WSO Series 7 Prep Course Here Series 7 ...

    20 comments2 Aug 2017 -

  9. Series 7 and the Street of Dreams

    Sales and Trading

    And you thought Cramer was on crack? series7 on livestream.com. Broadcast Live Free ...

    18 comments14 Jun 2016 -

  10. Just passed the 7, 66 next week

    Sales and Trading

    Been watching on here for quite a while, I would say since about fall of 2015. Reading all the different reactions to the Series 7, ranging from, and I quote here, "If you can fog a mirror, you can pass the 7" to "A decent work ethic and a ...

    14 comments2 Aug 2017 -

  11. Smart way to be a couch potato?

    Job Search Advice

    Recent graduate and soon to be unemployed again when my analyst internship wears off. Will definitely have some time on my hands while I continue to seek out some jobs and wondering what else to do in the meantime to keep myself competitive. Any programs ...

    15 comments26 Oct 2011 -

  12. series 7 summary

    Sales and Trading

    If any one is taking the Series 7 this summer, you might find this useful. I condensed the first half of the empire stock broker institute book. If any one finds the first half useful, I'll post the second part some time next week. Also, for those wh ...

    11 comments30 May 2010 -

  13. Does anyone know a good broker?

    WSO Success Stories

    I am currently using Interactive brokers. Anyone know of anything better? broker Series 7 ...

    10 comments7 Apr 2011 -

  14. jobs

    Job Search Advice

    I recently accepted an offer from a relatively young boutique AM firm a couple months ago, but today they told me I need to mail in a ck for 1,000$ to cover the costs of Series 7, Series 66 and Series 6 exams and that it will be reimbursed after the three ...

    10 comments29 Apr 2010 -

  15. Junior Year Interviews (Series 7 and Resume Talk)

    Job Search Advice

    Is there anyone here who got a Series 7 license before their internship between junior and senior year? What are the pros and cons of getting one before then? Does it look good or bad in interviews or does it not matter? Also, what looks good on a resume ...

    8 comments1 May 2012 -

  16. Series Exam Questions

    Sales and Trading

    Hey folks, So I'm starting FT in BB S&T this fall. I have to take the Series 7 and Series 63 in August and I have two major questions: Do I actually need to spend a significant amount of time studying to pass? I majored in Finance and Accounting ...

    7 comments30 Jun 2015 -

  17. Tests to Pass for Execution Trading

    Asset Management

    Hey all, I'm thinking about doing execution trading for a career, and I was wondering what tests I would have to pass in order to be able to do that job? I'm assuming the series 7, but not sure if there are any others that I would have to take. ...

    4 comments13 Nov 2019 -

  18. Certifications and Series Exams

    Investment Banking

    I'm working at a boutique IB and have both my series 7 and 63. Are there any other FINRA administered licenses worth getting? I would like to add something to my resume other then the CFA. Also, has anyone heard of getting your AVA (Accredited Valuat ...

    7 comments20 Aug 2009 -

  19. Can Hedge Fund "Hang" My series 7/63 licenses?

    Hedge Fund

    I am a sell-side trader for an IB. I am intereviewing for a trader job at a hedge fund. I am just wondering if a hedge fund can/will hang my current 7/63 license. I have heard conflicting info about that. Thanks for any clarity on this. Series 7 ...

    7 comments2 Apr 2009 -

  20. Need Advice TODAY!! question about series 7/ private equity

    Private Equity

    Hello fellow chimps! i'm quite new here and need some guidance. i currently hold my Series 7/66 in southern california and work for AXA Equitable. ive only been here a few months but i had never planned to stay long. today i interviewed at a private ...

    5 comments6 May 2020 -

  21. Question for those with Series 7 certification

    Investment Banking

    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 f ...

    6 comments1 Dec 2012 -

  22. The Series 7

    Off Topic

    How much does it cost to take the Series 7 and do brokerage firms generally pay the cost or do stockbroker trainees have to pay out of pocket? Thanks. Series 7 broker series 7 ...

    6 comments27 Mar 2011 -

  23. Making the jump from Analyst to PM/RM

    Asset Management

    To those in the field of Asset Management /Wealth Management. I was wondering if anyone could shed some light on how they made the jump from analyst to PM/RM in the wealth management field. I'm a fairly recent college grad, and currently an analyst a ...

    5 comments31 May 2016 -

  24. Licenses?

    Sales and Trading

    What licenses are required for trading? I know most banks will make you take the Series 7 when joining the firm. But, what about the series 63 and other licenses- are those required too? Series 7 licenses ...

    6 comments21 Jan 2010 -

  25. Series 7 during Summer Internship

    Investment Banking

    I have an investment banking research internship this summer. Due to my living circumstances, I have a little over an hour commute each way on the bus. During this time, I was thinking of studying for the Series 7 /63. Would a firm sponsor me even if I am ...

    6 comments6 Jun 2009 -

  26. Series 55 (Equity Trader License without the Series 7)

    Off Topic

    I thought I'd share this. A while back, I asked about how to distinguish oneself and break into Equity S&T but you don't yet have the Series 7 and cannot currently get it because you're not with a broker dealer. Assuming however, that y ...

    5 comments23 Feb 2018 -

  27. Is a Serie 7 necessary for IB Analyst position?

    Investment Banking

    Hello WSO Readers, I'm curious to know if a Series 7 is a must for 1-2 year Entry Level position Client Service Associate to switch to IB role. I know most requirements for BBs says "Serie 7 or CFA preferred" but does none license holders s ...

    4 comments11 Jun 2018 -

  28. Loose my 7 License

    Job Search Advice

    I am looking to join the NYSE after a stint at a BB. Will I loose my Series 7 & 63 licences while I'm there? I don't believe if they are a FINRA member firm (not a broker/dealer), but their may be exceptions. Any insights? Series 7 ...

    5 comments8 Dec 2011 -

  29. Average Salary for Stockbrokers

    Job Search Advice

    I'm interviewing for stockbroker positions and was wondering if anyone could talk about their successes as a stockbroker. Interested in some inspiring stories. Any tips would be appreciated as well. Thanks. broker Series 7 stockbroker ...

    5 comments28 Mar 2011 -

  30. Expired Securities Licenses- Question for Experienced Monkeys

    Resume Advice

    I wanted to get some feedback from experienced people who have seen this. Although you may not be on that side of the business (anything sales related or security product related), does anyone know what's the rule on this? Once your licenses expire a ...

    5 comments27 Jan 2011 -

  31. Series 7, Series 66 as Undergraduate

    Other Industries

    So I am an undergrad at a well known (not ivy league) business school majoring in Finance. This summer I received my Series 7 and Series 66 licenses. I was wondering if anyone knows how valuable this is as a resume booster. I understand that in 3 or 4 yea ...

    5 comments5 Sep 2010 -

  32. Series 7-BAML

    Investment Banking

    I am going to be starting as an IBD analyst at BAML this summer...Does anyone know if the bank makes its incoming analyst class take the Series 7 /63? I gather that some BBs require their incoming IBD analysts take the tests, while others do not I would l ...

    5 comments3 Apr 2010 -

  33. Certifications for Execution Trading

    Sales and Trading

    Hey all, I'm thinking about doing execution trading for a career, and I was wondering what tests I would have to pass in order to be able to do that job? I'm assuming the series 7, but not sure if there are any others that I would have to take. ...

    3 comments13 Nov 2019 - Intern in AM - Equities

  34. Knopman/STC Materials

    Off Topic

    I have Knopman Marks textbooks (SIE and S7) as well as online access to the S7 stuff (it's really really good). I'd be happy to let go of any combo you may choose for a fair price. Located in NY. If this isn't kosher on this forum apologies ...

    3 comments6 May 2020 -

  35. series 7 now what?

    Job Search Advice

    so I have my Series 7 (and 63) and I'm having a rough time in sales. Granted I've been working on wall st less than one year but I thought the 7 would open more doors for me. I can work for alot of different firms in sales so that's a big p ...

    4 comments19 May 2014 -

  36. Series 7- no longer need to take?

    Hedge Fund

    I have a ob at a prop desk that is merging with a hedge fund. I have been studying for the Series 7 and the guy at my prop desk told me that I no longer need to take the Series 7 because we are merging with the fund. I will still be doing the exact same j ...

    4 comments3 Mar 2016 -

  37. Series 7 shuts down after you quit?

    Sales and Trading

    When you quit your job and go to school. Does your Series 7 automatically get shut down? Or does it stay active until your next renewal date. I am basically asking so that I know how to properly reflect it in my resume. Series 7 ...

    4 comments12 Sep 2012 -

  38. Prospective Analyst Question..help please!

    Equity Research

    Hey guys, quick question.. I am an undergraduate entering my senior year, and I plan on taking the CFA Exam I next June. What Series # should I be taking now if I want to be an analyst? I know I need the 86/87 so should I take the Series 7 and 66 now or i ...

    4 comments20 Jun 2011 -

  39. PWM-> Banking-> VC

    Investment Banking

    I have some questions about banking. I'm considering the industry because VC sounds like a potential career for me in the next ten years and I have heard that banking or consulting is the route prior to VC. Quick background: I work at a BB PWM firm i ...

    3 comments6 May 2020 -

  40. Series 7 using Pass Perfect

    New User Introductions

    Taking the Series 7, I have STC but I do not like there study materials. Thinking about buying Pass Perfect has anyone had success with there material in Passing? Thanks for the feedback! Series 7 Pass Perfect ...

    3 comments4 Apr 2015 -

  41. STC Series 7 40th edition practice exams and progress exams only

    Off Topic

    Hi does anyone want to sell this to me? thx Series 7 Salary ...

    3 comments13 Jan 2013 -

  42. Series 7 and 63 about to expire

    Job Search Advice

    I recently quit my job due to pay cuts. I took my Series 7 on Feb, 4 2011 and 63 on Feb 11th, 2011. To my understanding they expire 2 years later, so on Feb 4, 2013 and Feb 11, 2013 respectively. Is there any way I can do the CE without have a firm sponso ...

    3 comments27 Dec 2012 -

  43. Series 7- STC vs KnopmanMarks

    Sales and Trading

    Failed series 7 exam with a 69% using STC provided material from my firm. Consequently, I switched over to KnopmanMarks and passed my exam with a 78%. I can tell you from experience what a difference did it make to switch from providers. In my personal op ...

    2 comments18 Jun 2018 -

  44. Landing on a job after graduation (series 7, 66, CFA)

    Job Search Advice

    I'm a junior at non target school. I am gonna be an intern in a local investment boutique. They said they'll sponsor me for Series 7 and 66. This December (I will be senior) I'm planning to take CFA 1. I am studying 2 hours a day and really ...

    2 comments6 May 2020 -

  45. Not passing STC Series 7 practice exams

    Sales and Trading

    Hey all, I am taking my Series 7 in 9 days, and have been hammering out practice tests the past week. I have been getting scores between 68-75, with only one test being a passing score. Today I took two tests; one was a 68 and the other a 71. I am startin ...

    2 comments27 May 2017 -

  46. Kaplan Series 7 & 63 Materials

    Investment Banking

    Selling the following: Kaplan Series 7 * Study Calendar * Series 7 License Exam Manual 10th edition (PDF. Can also send the Print Manual) * SecuritiesPro QBank (2,700 Questions) * Video Library * Series 7 QuickSheet (6 page Cheatsheet) * Options QuickShee ...

    2 comments10 Oct 2016 -

  47. Series 7 STC vs Training Consultants

    Sales and Trading

    Taking my 7 for my second time next week....first attempt i sadly got a 71 (lol....) I used STC was scoring low 80s on online test now im scoring high 80s to low 90s. Started taking the Training consultant test today got a 75...Its crazy how much the scor ...

    2 comments10 Feb 2016 -

  48. Series 7 Exam for University Endowment Employee

    Sales and Trading

    I'm a college student and am trying to work for my school's endowment fund. I'm also taking a Series 7 Prep course my school offers and should be prepared enough to take the exam at the conclusion of the course. I will not have graduated ye ...

    2 comments30 Sep 2015 -

  49. Study/take GMAT and Series 7 at the same time?

    Investment Banking

    I'm graduating undergrad in Spring 2016. I'm currently interning at a regional MM in IB. I was planning on studying for the GMAT this summer and taking it. I had planned on studying for 2-3 months. Should I also study/take the Series 7 this summ ...

    2 comments28 May 2015 -

  50. Knopman series 7/63 study book and materials

    Sales and Trading

    Anyone interested in buying them? Send me a message with prices for one or both and we can try working something out. Series 7 ...

    2 comments12 Dec 2014 -

  51. Series 7 Knopman Practice tests?

    Sales and Trading

    I am consistently getting around 66% on my Series 7 practice tests with Knopman. Since these practice tests are supposedly much harder than the actually test should I worry about hitting the 72% on the real deal? Any tips for bringing my score up? Series ...

    2 comments30 Dec 2012 -

  52. Mass Mutual Internship

    Investment Banking

    Hey everyone, So I've recently had a few internships lined up. One at Mass Mutual where I'm not entirely sure what I'll be doing, but was offered sponsorship for the Series 7. I'm not sure if I'm the only one who finds this strang ...

    2 comments29 Aug 2011 -

  53. Series 7 Question

    Investment Banking

    Sorry if this is common knowledge but if you become an Analyst at an Investment Bank do you have to take your Series 7? If so, does it have to be within 90 days of starting? Do you also need the Series 63 if in NY? Thanks Investment Banking investment ban ...

    2 comments18 Feb 2011 -

  54. Series Exams

    Equity Research

    Can someone please confirm how many attempts can one make at writing the series exam within the 120 days window? Series 7 ...

    2 comments4 Feb 2010 -

  55. Certifications Needed for Execution Trading

    Job Search Advice

    Hey all, I'm thinking about doing execution trading for a career, and I was wondering what tests I would have to pass in order to be able to do that job? I'm assuming the series 7, but not sure if there are any others that I would have to take. ...

    1 comment13 Nov 2019 - Intern in AM - Equities

  56. Series 7 with Kaplan QBank?

    Sales and Trading

    So I've been using Kaplan after using PassPerfect for awhile and feeling like it was doing me no good. I read the majority of the Kaplan book and I'm taking QBank quizzes now. I alternate between doing 10-15 at a time and then doing 125 when I h ...

    1 comment5 Feb 2019 -

  57. Licenses Required for Portfolio/Hedge Fund Manager

    Asset Management

    I have been hearing that a series 7 is not required to be a PM or HF Manager. It just brings unnecessary regulation. A series 65 is all that is required. If this true? If I wanted to manage money from clients of my own. I would legally need only a series ...

    1 comment6 Jun 2018 -

  58. Knopman Series 7, 63, 87 and STC Series 86, 87 materials available

    Investment Banking

    I have Series 7, 63, and 87 materials from Knopman and also Series 86 and 87 materials available from STC. Please PM me if interested! Series 7 series Series 63 87 86 Knopman stc ...

    1 comment26 Sep 2018 -

  59. Series 6/63 or 7/66 licensing

    Job Search Advice

    Hi guys, just thought I'd jump on here and see if anyone can help answer some questions. I entered into the financial planning field about 3 years ago at the suggestion of a friend to get my licenses. However, I only received my life and health befor ...

    2 Aug 2017 -

  60. the series 7 for non-finance major

    New User Introductions

    I've red that most people(with or without finance background) study for about 300 hrs and pass the Series 7. I am wondering if I am doing something wrong... I have been studying for the test for the past 12 months. At least one hour a day, five hours ...

    15 Aug 2015 -

  61. Has anyone taken the Series 99?

    Sales and Trading

    I just started a new job and they want me to take the Series 99 exam tomorrow (less than a week before CFA Level 1-_-) I've been using Kaplan's online practice exams and read their book. Has anyone taken the 99 before? I'm wondering how sim ...

    1 comment30 Nov 2014 -

  62. Selling: Series 7 Kaplan Manual, Class Notes, and Qbank

    Investment Banking

    I bought the whole package two weeks ago, and passed the exam in high 80s. License Exam Manual: Great condition with pencil underlines. A comprehensive textbook covering all aspects of the exam. Short, focused paragraphs with numerous graphics and exercis ...

    18 Jul 2014 -

  63. Series Study Materials

    Investment Banking

    Hey Monkeys, I've got Series 7 prep materials for sale. They are in mint condition. I was supposed to have to take the 7 for my Analyst role, but our Group Head decided we only needed the 79 and 63. So I have Series 7 materials that the bank gave to ...

    1 comment8 Jun 2014 -

  64. For Sale: Latest Series 7, 63, 65, 66, 79, 99 exam papers. Selling cheap!

    Investment Banking

    For Sale: Latest Series 7, 63, 65, 66, 79, 99 exam papers. Selling cheap! For more details, please visit finra-nasaa-exam-papers.blogspot(dot)com Series 7 79 63 66 Salary ...

    22 Nov 2013 -