Series 7 Sponsorship and Broker Opportunities. I'd like to get ahead a bit and take the Series 66 which I've read doesn't require sponsorship. There will be two exams required: Either the Series 63 or Series 66 and the Series 7. ... I’m finding some options (mostly with banks) that would be available if I already had my Series 7. The Series 6 and 7 exams are FINRA tests, and taking them requires sponsorship from a FINRA-member company. When you join Edward Jones, your first assignment will be to study for your industry exams. But I can't seem to find a solid answer on if I can take the Series 66 … I am trying to take the Series 7 and 66 a year from now and have started studying. Individuals who have passed the Series 7 may take the Series 66 in order to avoid having to take the more difficult Series 65 exam. To become registered to offer securities, state and federal laws require that all Financial Advisors pass the General Securities Registered Representative Examination (Securities Industry Essentials SIE + Series 7) and a Uniform Combined State Law Examination (Series 66). Series 7 B/D Sponsorship. I have been looking for a FINRA firm to sponsor me, does anybody know which firms are easier to get sponsorship from? Step 2: Take the Required Exams to Become a Licensed Stockbroker in Minnesota. Log in or Register to post new content in the forum. This can be taken in lieu of the 63 to satisfy the requirement for operating in individual states. First, we don’t charge you an obscene amount of money for the help you need. If yes, then you're all set. There is no order in which the Series 7 and Series 66 must be taken. Second, you won’t find the sequestered voice eternally droning behind the infinite slide set. Apply to Financial Advisor, Regional Vice President, Analyst and more! This license allows one to act as both a securities agent and an investment adviser at the state level. The Series 7 and Series 63 licenses are the basic, entry-level licenses that every registered representative of a broker and dealer must obtain. Rank: Senior Monkey | 67 . Good luck with your Series 7 license. I am still in college and want to have this … I hope we have answered all your questions regarding Series 7 and 63 Licensing Requirements! The Series 66 qualifies you as if you had passed both the 63 and 65 – however it shows up on your CRD record just as passing the Series 66, not has having passed the other two exams. Getting the Series 66 license fulfills the requirements of both the Series 63 and Series 65 licenses. All Series 7 Exam applicants are required to obtain a sponsor from a FINRA member broker-dealer firm. The Series 7 is "active" for 2 years after you leave the firm that sponsored you, so once you move to another firm within that time frame they will work with you and FINRA to make sure everything is in good order. What the Series 66 Is. A brokerage firm will sponsor a person to take a licensing exam such as the Series 6 or 7. Sponsorship is normally done when a person is hired and compiles a certain number of days and in-house training. Do I need to have a sponsor before I take the Series 63, 65, or 66? You do not, however, have to be sponsored to take FINRA's new SIE exam. The Series 66 exam was created at the request of industry to avoid their employees having to take two exams. UNLESS, you want to start your own hedge fund, Then, you can self-sponsor to take the Series 7. 135 Series 7 63 Sponsorship jobs available on Indeed.com. Have you taken your Series 7? blackrsx ER. When taking the Series 63 or Series 66 Exam, no sponsor is needed. The Series 66 examination and license combines two separate licenses into a single examination and licensing process. If no, then you are SOL. The Series 63 license certifies that the broker is competent in state securities law, as laid out in the Uniform Securities Act. (If you are earning your Series 7, you will also have to pass the new SIE exam.) Recommended Training Courses: To find Series 7 and 63 training, simply click on any of the recommended courses below, or search under "Licensing" in the search box thereafter for "Series 7" or "Series 63". The Series 63 license certifies that the broker is competent in state securities law, as laid out in the Uniform Securities Act. The content from Series 7 Specialists is unique in two ways. Question about Series 7 Sponsorship and Changing Firms. What the Series 66 Is. Passing the Series 66 exam is equivalent to the successful completion of both the Series 63 and Series 65 exams.