Learn what's required for your Financial Services License in United States
Series 7 is a FINRA exam required for individuals who may sell a broad range of securities including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. Individuals are required to pass both the Series 7 Top-Off Exam and the SIE qualification exam in order to register as a representative.
Series 52 is a Municipal Securities Rulemaking Board exam required for individuals engaged in the sale or underwriting of municipal securities or municipal fund securities. Individuals are required to pass both the Series 52 top-off Exam and the SIE qualification exam in order to register as a representative.
STC’s Securities Industry Certificate Program (SICP) provides employees with a sound understanding of the securities marketplace, investment vehicles, customer accounts, and regulations impacting Registered Investment Advisors (RIA) and Broker-Dealers (BD). Students will also gain an in-depth knowledge of the structure and operation of a BD and RIA upon completion.
Note: This license renewal information is provided as a convenience only and is subject to change at any time. It's ultimately the responsibility of the licensee to be sure that he or she is meeting all requirements for each license and corresponding renewal period.