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How do I become a stockbroker? Some people sit for the Series 6 or Series 62 exam to get into production faster, and then take the Series 7 later on. You need to interview with the kinds of firms that you feel will provide you with the best opportunity to be successful and offer the kinds of securities you would like to work with.
Firms are looking for individuals who can create commissions for the firm. If the firm wants you — they will sponsor you for the Series 7 exam. Some think having passed the Series 7 exam prior to interviewing makes the candidate more likely to get a job as a stockbroker. What the firms are looking for are the right skills. You have two years from the date you pass the exam to complete your registration — otherwise you have to sit for the exam again. Remember, passing an exam is only one step in the registration process.
You must be complete the registration process before you attempt any type of solicitation. Keep in mind, the brokerage firm that hires you may have more restrictive requirements for example a college degree and 21 years of age. In securities registration there are two levels of registration: On the federal level you take the Series 6, 7 , 62 , etc. For further information on Registered Investment Advisor registration, click here.
Test Centers are located in many cities throughout the U. NFA exams include the Series 3, 30 , and Securities Exam Preparation, Inc. You can review our specially designed self study materials for the Series 7, 65, 63 and 3 exams at our site. Securities Exam Preparation How do I…? How To Become a Stockbroker. Search SEP Search for: