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Small firms that sponsor series 7 test?
Hello , I would like to obtain my Series 7 Test , must I have a sponsor to take the test ? If so , any suggestions on a firm that would sponsor ? Thanks , George
How long for the series 66 license to expire after leaving a Broker Dealer Firm?
30 days
How can I get a series 7 license?
You have to first start working with a brokerage firm. They have to sponsor you for the exam and then and only then can you get your license. Along with your series 7 exam you probably will have to take the state licensing exam called the 63 which lets you sell the securities in the states by covering the general laws. Each state does have different laws but the majority of the laws are the same and that's why you have to take the series 63 exam.
what are requirements to become an independant stock broker?
You must be licensed as a Registered Representative. That license is the Series 7. The Series 7 is a 250 multiple choice exam that must be passed to become a stockbroker. The exam covers all registered investments including Stocks, Bonds, Options, Mutual Funds, Limited Partnerhips, taxes and Retirement Planning. You must be sponsored by an NASD Firm to take this test. Basically, that means that a firm must hire you first or you must get a firm to agree to sponsor you without a full time employment commitment.
Does a law firm have to obtain a license to be a debt collector and what agency gives them license?
In most jurisdictions, law firms may take steps to collect debts without any special license. They do have to abide by the debt collection laws for the jurisdiction.
License existing technology from another firm and apply it to this product?
Where the technology you are using from another firm is applying that to a product that needs to be license.
How easy is it to set up a consultancy business?
Setting up a consultancy business is not easy. You will need to obtain a consulting license, manage a network, and purchase a venue to set your firm in.
How much does a series 7 license cost to hold?
The cost of obtaining a Series 7 license primarily includes fees for the exam itself, which is typically around $300. Additionally, there may be costs associated with study materials, prep courses, and any required sponsorship from a FINRA member firm, which can vary widely. While there are no ongoing fees specifically for holding the license, there may be annual registration fees or costs related to continuing education and maintaining employment with a sponsoring firm.
Do broker dealers have to be registered?
Broker dealers have to register themselves with the SEC, but the principle or managing partner does not have to be a registered rep with a series 7 license. But the firm does have to have at least one on staff.
Do you need a degree to be a financial advisor if not does it cost money to become one if you are employed by a firm.?
No, you do not need a degree. Yes, it does cost money. In fact, in many cases you need a firm to sponsor your application.
What is the difference between a sourcing firm and a recruiting firm?
A sourcing firm will give the client a list of options to follow to obtain better personnel. A recruiting firm is going to actually do the recruiting to find better employees for clients.
How can I obtain a position as a paralegal with an Atlanta law firm?
Provided you have the necessary training, you need just apply with the firm(s) you're interested in.
