FINRA Exams series 3, 7, 22, 57 and SIE ?
- Thread starter TradeTune
- Start date
You need to be sponsored by a FINRA member firm for all but the SIE. The exams are given outside of the USA.
https://www.finra.org/registration-exams-ce/qualification-exams
https://www.finra.org/registration-exams-ce/qualification-exams
- How or where to find a firm that can sponsor me for seating exam?
- What obligations me and firms have toward each others ?
i couldn't find information on above questions
You need to be hired as either an employee or as a 100 independent contractor.
Why are you asking about these licenses in the absence of a commitment from a hiring firm?
Honestly i don't want to risk studying all materials and not having anyone sponsor me, consdiering my age too. Also i prefer to be working independently.
These exams are not hard to pass and why not do it. But still have to see what future will bring to me, then i can decide if i like to be affilited with a firm.
I think for begining i will apply for series 3, since no need to be sponsored and then apply for SIE (no sponsership need) which is prerequestie for top off courses like series 7, series 57 ...
I did not notice you asked about the 3, and you are correct no sponsor needed for the 3. When I first got my 7 and 3 I was employed and sponsored by the employing broker-dealer.
I have account with Four brokers as retail trader. once i get my series 3, do i have to inform them?
I'm trading stocks only and Do i need to inform them if i play options and futures ?
Is there any annual fees or re-test i need to seat , that i need to be aware of ? thanks
You are not Broker/Dealer Representative. You are not soliciting business from US public.
As a retail trader you don't need this exams.
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that's not the question.
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