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FINRA Exams, Sereis 7 and Series 63?
I just graduated college and am currently looking for a job. I ultimately want to become a trader or portfolio manager. However, I know I need to start somewhere. I am trying to find someone to sponsor me for my Series 7 and 63. (Any recommendations here) And also are there any Certifications or other FINRA exams I can take/study for right now? (without a sponsor)
3 Answers
- 10 years agoFavorite Answer
You can start studying for exams, but FINRA will not allow anyone to take an exam unless that person is sponsored by a member firm.
Source(s): Over 30 years in the securities industry - 10 years ago
Congrats buddy!!! Impressive. Now it's time to go hit the streets! Go do your research and come up with a list of 10 firms and their addresses. Find out who the branch managers are. Go cold call their offices with your resume in hand dressed in your biz suit. Ask the receptionist if Mr. Doe is available, that you're a recent college grad, and that you'd like to hand-deliver your resume to him. You'll be surprised at how many managers will let you in because of your tenacity. If he's not available, ask if you may make an appointment (on the spot) to come back at a convenient time for him. It's true, you'll get a lot of no's, but this is EXACTLY how I landed my 1st Financial Advisor gig with the big dogs in Atlanta, GA. I was relentless, out of the box, polite but agressive, & professional. It worked.
