Understanding the world of securities licenses can be overwhelming, especially when you’re trying to determine which license suits your career path in the financial services industry. If you’re ...

The Series 7 exam is your gateway to buying and selling a wide range of securities and offering investment advice. Passing this exam shows you have the skills and knowledge needed to work as a ...

Julia Kagan is a financial/consumer journalist and former senior editor, personal finance, of Investopedia. Dr. JeFreda R. Brown is a financial consultant, Certified Financial Education Instructor, ...

Obtaining the Series 7 license is an important step for many financial advisors on their climb up the career ladder. But clearing this obstacle is not without its challenges. To obtain their licenses, ...

Troy Segal is an editor and writer. She has 20+ years of experience covering personal finance, wealth management, and business news. Amy Soricelli has over 40 years working with job candidates and has ...

We might earn a commission if you make a purchase through one of the links. The McClatchy Commerce Content team, which is independent from our newsroom, oversees this content. This article has ...

"Parking" a Series 7 license at a broker/dealer when you're not performing any brokerage functions for the firm has been a longstanding -- though illegal -- practice on Wall Street. Firms have used ...

The Series 9 and Series 10 exams assess the attributes a general securities sales supervisor needs for their job. They are administered by the Financial Industry Regulatory Authority (FINRA). They’re ...