Which Series exams for starting Introducing brokerage or as trading broker/advisor/Eductor?

T

TradeTune

Hi all,

I am not sure exactly what i'm looking for hence not sure if i phrased my question right.

1- I'm looking to be able to teach Trading courses as Options / stocks / futures to my clients online through interactive web course or sometimes on-site like small Seminars ?

2- Start my own Introducing brokerage to Link with Interactive brokers and others firms platform so i can trade for them or my clients can trade through my firm so i can earn commissions ( i'm not based in US) or maybe work for other brokers. But this is not my priority, as i'm more interested in first one above.


Is taking quick Series 7 and Series 63 or 57 exams is all required? what is CTA exams series 3 for futures only?
I'm not looking to take crazy CFA or something like that, as my age and time doesn't allow that.

I'm just not sure which exam i need to take that i can work independently but legally ? your suggestions highly appreciated.
 
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(1) Literally nothing. Not even skill. You don't need any qualifications to teach trading.

(2) Call FINRA and tell them what you want to do. If you're taking client money you'll need at least a series 3 and possibly the others. Remember this will necessarily move you from individual to professional status and cause everything to become more expensive for you.
 
As you have been told - nothing to teach. Once you hang a license it gets complicated and you should ask the firm that will sponsor your 7.
 
gaussian said:
(1) Literally nothing. Not even skill. You don't need any qualifications to teach trading.

(2) Call FINRA and tell them what you want to do. If you're taking client money you'll need at least a series 3 and possibly the others. Remember this will necessarily move you from individual to professional status and cause everything to become more expensive for you.
More...

But if I'm not wrong does having a certification adds to your credential and trust or confidence of your clients toward you. Cost is no problem , it pays for itself
 
ajacobson said:
As you have been told - nothing to teach. Once you hang a license it gets complicated and you should ask the firm that will sponsor your 7.
More...

But still not sure which exam is best for what i want to do. It seems i need to take three exam , series 3 for futures and series 7, and 63 or 57 .. for equity and options ?
 
I suspect there may be a misunderstanding here. You need to be sponsored to take the exams - you can't just take them on your own. Querry the firm as to what they'll want.
 
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