Earn Series 7 License
10 weeks · 0 milestones
Pass the FINRA Series 7 General Securities Representative Examination. Official license confirmation as proof.
Milestone map
Milestone map
3 milestones
The Series 7 Top-Off examination requires active sponsorship from a FINRA-registered broker-dealer — you cannot register for it independently. Secure employment or internship with a FINRA member firm that is prepared to register you as an Associated Person. Simultaneously, prepare for and pass the Securities Industry Essentials (SIE) exam, which covers foundational securities knowledge and can be taken without a sponsor. The SIE is a co-requisite for the Series 7 Top-Off.
Proof required
FINRA BrokerCheck record or Form U4 confirmation showing your registration with a FINRA member firm as an Associated Person, plus the SIE pass result from your FINRA account or Prometric confirmation.
What gets checked
- Active firm sponsorship confirmed with a named FINRA member firm
- SIE exam result showing pass confirmed from official source
- U4 registration filed confirming Associated Person status