PDF Version DemoTopics of FINRA Series 7 Certification Exam
Candidates must know the exam topics before they start of preparation. Because it will really help them in hitting the core. Our FINRA Series 7 exam dumps will include the following topics:
- Packaged Securities
- Investment risk
- Options
- Taxation
- Equity, and debt instruments
- Interactions with clients
- Retirement plans
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
The benefit in Obtaining the FINRA Series 7 Certification Exam
The advantage of the Series 7 license is that it allows you to sell different types of products in securities, with the exception of commodities and futures. Series 7 license is valid for the entire period you work for a FINRA member company or self-regulatory organization (SRO).
Consider if you are working for a mutual fund company as a fund manager. Mutual fund managers buy and sell shares on behalf of subscribers, based on the stated objectives and strategies of each fund they supervise. If you win Series 7 and 66 before you have enough experience to work like a mutual fund manager, enter the door of a mutual fund company as a stock market researcher or analyst, so progress in exceptional performance.
Consider if you are working as a financial advisor for a financial services company. Financial advisors work directly with individual clients in the consumer or corporate segment, rather than grouping funds from many clients such as mutual funds. Financial advisors can be paid commissions based on the different financial products they sell, or they can be paid with a fixed commission based on the dollar amount of the assets they manage. As an action-oriented consultant, look for a position that you pay yourself on a flat rate basis, as this will allow you to earn more money over time by increasing your clients' wealth. Get the Chartered Financial Planner (CFP) designation before working as a financial advisor or find a company willing to sponsor you to take the exam after your arrival on board.
In recent years, many people choose to take FINRA Series-7 certification exam which can make you get the FINRA certificate that is the passport to get a better job and get promotions.
How to prepare for FINRA Series-7 exam and get the certificate? Please refer to FINRA Series-7 exam questions and answers on ITCertTest.
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FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | |
| Topic 2: Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | |
| Topic 4: Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records |
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