Getting Licensed

Getting licensed is the only way you'll be able to perform basic duties as a stock broker. Here you'll learn about the different licenses offered by the Financial Industry Regulatory Authority and what they allow you to do.

It's very important to study and prepare for each licensing exam as there are fees associated with them. And for those that require a sponsor from a member firm (like the Series 7 Exam - the main exam Stock Brokers must take) your career can be in jeopardy if you're constantly re-taking them.

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