Quick Definition

The Series 7 is a license issued by the Financial Industry Regulatory Authority (FINRA) that allows individuals to sell a broad range of securities.

Examples

• 1A financial advisor obtaining the Series 7 license to provide more comprehensive investment advice and services.
• 2A brokerage firm requiring all new hires to pass the Series 7 exam to ensure they can handle transactions for stocks, bonds, and other securities.
• 3An individual transitioning from a career in banking to investment advising, studying for the Series 7 to meet regulatory requirements.
• 4A company offering preparatory courses and materials specifically designed to help candidates pass the Series 7 exam.

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