The Series 7 is the NASD (FINRA) license for general securities representatives required for anyone involved with selling and buying equity securities, debt securities, those in the securities market and investment companies and retirement plans administration. It is basically a license for registered representatives that entitles the holder to sell all types of securities products. The process of acquiring it demands on passing stringent exams. The license must be renewed every two years or it expires.
Navigate to the FINRA website found in the Resources section.
Click on the “FINRA BrokerCheck” link on the far right side of the screen.
Enter your name (or your company's name) and click on the “Start Search” button. This will find you or your business and will display your license status.
Check to see if your license is still valid or whether it is due for renewal.
Fill out the appropriate forms and information for renewal of your license. If you need further instructions, make sure to contact FINRA for information.
- FINRA. "Series 6 – Investment Company and Variable Contracts Products Representative Exam." Accessed Nov. 11, 2019.
- FINRA. "Series 7 – General Securities Representative Exam." Accessed Nov. 11, 2019.
- FINRA. "Series 3 – National Commodities Futures Exam." Accessed Nov. 11, 2019.
- NASAA. "Series 63 Study Guide." Accessed Nov. 11, 2019.
- NASAA. "Series 65 Study Guide." Accessed Nov. 11, 2019.
- NASAA. "Series 66 Study Guide." Accessed Nov. 11, 2019.
Bobson St. Pierre started writing professionally in 2007 as a copywriter for his Web design firm, Bobson Consulting Corp. He keeps a blog and has written an e-book titled, "Fail your way to success!" St. Pierre holds a Bachelor of Science in computer science from DeVry University in North Brunswick, N.J.