Prerequisites for Series 7

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Jun 8, 2008 12:34 pm

Some websites indicate 'You must be sponsored by a financial company who is a member of FINRA, or a Self-Regulatory Organization (SRO)' as a prereq to taking the Series 7 exam. The Finra.org does not indicate any such requirement. Can somebody here clarify if there are really any prereq's to taking Series 7?

Jun 8, 2008 4:13 pm

Lost - even if you could take it without sponsorship, you wouldn't want to.  The fact that you are asking this question means you don't really understand how the business recruits and trains.  Some people think if you have your Series 7 it makes you a more attractive hire - the opposite is actually true!!  Use the search button to find out more about getting into this industry.

Jun 8, 2008 4:54 pm
iceco1d:

Series 7 Prerequisites:

 
1.  Sponsored by a FINRA member (yes, that is true).
2.  Not a felon.
3.  Over 18.
4.  Have a pulse.
 
They don't actually check to see if you have a pulse, so this may not be a requirement.
Jun 8, 2008 5:02 pm
iceco1d:

Series 7 Prerequisites:

 
1.  Sponsored by a FINRA member (yes, that is true).
2.  Not a felon.
3.  Over 18.
4.  Have a pulse.
 
No requirement for a mental illness check as everyone going into this business is not right in the head.