__ Series 79 licensing exam prep can really give you the edge you need to pass. Of brokers who can sponsor you to manage money, i.e. Today, the majority of firms will not hire you unless you have an undergraduate degree. The licensing exam is not exactly a walk in the park. If you are new to the business, please review these questions and answers to see if your question is addressed. The options for people right out of school are limited here. Trying to pass the Series 7 without third-party materials is impossible. Series 6 and Series 7 Sponsorship and our firm will consider being a sponsor for the Series 24 and pay for the exam. Series 7 is not really education that you will find useful at all in being a trader. They Include: Series 65 Exam - Registered Investment Advisor Get the How To Become a successful Broker and advisor Guide Book. Search through job board postings for companies that list sponsorship opportunities, or do not list a Series 7 requirement. AIT is the provider of the courses, we are not a brokerage firm. You will have to get hired first before you can take the Series 7. Most work in the financial industry requires obtaining at least one license from the Financial Industry Regulatory Authority, or FINRA. Are there any loop holes i can use to get one so i … It would be nice if there were a work-around, but there really isn't. You need to study with purpose and planning. Consider taking a lower-level job at one of these firms to get noticed and earn the right to take your Series 7 exam. You can take the SIE exam without sponsorship at a firm, which means you can take and pass it before applying to jobs to augment your resume. Series 7 Sponsorship … The Series 7 exam covers information included in several independent exams required to trade annuities, mutual funds and other securities. In order to sell variable annuities, you do need to sponsored by a broker/dealer, fill out a U4, get fingerprinted, and pay some big fees just to take the series 6. As soon as you pass that, and then the Series 66, tell them you got a better offer and leave. Securities Licensing To Think Without Sponsorship Depending on if you are looking to break into the securities business sector or work for an agent-dealer, there are sure securities allowing that you … Just about anyone can sell cars, furniture or appliances, but if you want to sell stocks and bonds you'll need a special license. Most of the Series 7 is just understanding what the products are your fiduciary responsibilities with clients and their money. Individuals who pass the Series 7 examination are eligible to register to trade all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. Then, once employed by a FINRA-sponsored firm, you will pass the FINRA Series 7 Top-Off Exam to receive your full Series 7 license.