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Series 7 Licensing - Training, Exam Prep, Study Guides

How To Become A Stockbroker: About The FINRA Series 7 License

What is a Series 7 license? A FINRA Series 7 license qualifies a candidate for the solicitation, purchase, and/or sale of all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. Questions on this securities exam are designed to test a candidate's knowledge and skills needed for ongoing success as a General Securities Registered Representative.

By successfully passing the FINRA Series 7 securities exam, you will be qualified by the Financial Industry Regulatory Authority (FINRA) as a Registered Representative of a broker-dealer in the United States - often referred to as a "Stockbroker".

As a securities financial professional, your job function will include being able to sell stocks, bonds, mutual funds, ETFs, corporate and government bonds, Limited Partnerships, Fixed and Variable Annuities, and options, commodities, and futures to your clients. To can also help your clients with retirement planning and financial planning.

About The Series 7 Exam Format: What Is On The Series 7 Exam

The FINRA Series 7 Licensing exam tests your knowledge about buying and selling securities products such as stocks and bonds, options, mutual funds, ETFs, and more. The exam covers the following major topics:
    Series 7 review classes and training courses
  • Equity and Debt Securities
  • Options and Derivatives
  • Retirement Plans
  • Regulations
  • Taxation
Candidates have three hours and 45 minutes to answer all 135 multiple-choice exam questions, which includes 10 additional questions that don't contribute to the score. Each has four possible choices.
Tip: Whether you take on in-person, online, or self-study course, all come with many sample exam questions. We suggest you take as many of these sample exams as possible, so you might want to leave two weeks between when you complete your pre-licensing course and your exam date.
To start the process of earning your Series 7 Securities license, simply choose your preferred pre-licensing course from the list below.

How To Earn A Series 7 License: About Our Series 7 Classes And Study Materials

Earning a Series 7 license qualifies you as a Registered Representative of a broker-dealer in the United States, or, in layperson's terms, a stockbroker. Remember, if you wish to function as a stockbroker for your financial firm, you must have a FINRA Series 7 license - and ABTrainingCenter.com has the training to help!

Available SIE And Series 7 License Review Classes

AB Training Center offers several different types of training courses to help you meet your SIE and Series 7 training goals. Our Series 7 study guides and exam prep materials are available via in-person, online, and self-study formats. Each format includes numerous test prep, study guides, and sample exam questions that are designed to help you pass your securities representative exam on the first time.

You have three options for ordering your Series 7 Licensing courses: order only a Securities Industry Essentials course; order a Series 7 course only, or; order both at the same time for a discounted price.

Series 7 License Requirements: Available SIE License Review Class OptionsSeries 7 License Requirements: Series 7 License Review Class Options
  • Series 7 Live Review Class Seminar
    Our live classroom review is an intensive, three-day, in-person review seminar in a standard classroom environment, with skilled and knowledgeable instructors who can walk you through the finer points of securities trading and provide specific strategies for acing the exam. It will cover all the material you need to be fully prepared for the Series 7 exam. It also comes complete with our full range of self-study materials for you to familiarize yourself before the review course so you can follow along and ask the most useful questions in the live classroom environment.
  • Series 7 Live Webinar With OnDemand Playback
    Our live webinar with OnDemand Playback for the Series 7 is perfect for those learners who have grown accustomed to learning in the digital age. You will log in for the webinar from the comfort of your home or office and participate in a three-day intensive Series 7 preparation program - and if you missed anything or need to review, you never have to worry because you will enjoy unlimited access to the lecture in the form of an OnDemand playback. Call up any portion of the program at any time on your computer to review the materials as much as you need to feel ready for the exam.
  • Series 7 OnDemand Training
    If your schedule does not allow you to attend the Series 7 prep class live, you may choose to just opt for the OnDemand Training. This program, which comes with the self-study materials, gives you full access to the instructor-led classes via OnDemand playback. Review the lessons and learn at your own convenience and at your own pace.
  • Series 7 Self-Study Exam Prep
    Some people learn best without guided study. They know what they want to learn and when and how they want to learn it. If this sounds like you, order our self-study exam kit. You get all the necessary study materials, including a FINRA Series 7 license exam manual with focused, concise paragraphs that provide all the information you need about Series 7, numerous sample questions that allow you to customize your own practice exams, as well as the InstructorLink study center that contains online resources and support tools like streaming videos, exam tips, and searchable FAQs.
Available SIE And Series 7 Combo Test Prep Packages

Since you know you will have to take and pass both the SIE and Series 7 exams, why not register to prepare for both at the same time? Our combo packages save you both money and time, as you can schedule both of your exam prep courses without having to wait to complete one. This way you can schedule both exams and pass both exams that much faster. The end result is that you can get your licenses and get to work sooner!No matter how you prefer to study for the Series 7, AB Training Center offers the best training packages to suit your needs!

Find Series 7 Classes Near Me

Use the search box below to find Series 7 classes, Series 7 study materials, and Series 7 Top Off classes.
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How To Become A Stockbroker By Earning A Series 7 License: Requirements, Costs, And Test Prep Hints

Requirements To Take The FINRA Series 7 Securities Exam

If you want to become a stockbroker, you are required to take both a Securities Industry Essentials (SIE) exam and a Series 7 exam. AB Training Center provides provides both SIE and the Series 7 license review courses in a variety of formats so you can choose the method of study that will help you the most. You can choose between online training courses, self-study courses, or in-person classes.

These courses will help you prepare so you can confidently answer each of the Series 7 exam questions that will appear on your test. So regardless of the format you choose, you can be confident that our SIE and series 7 review packages will give you the knowledge and the skills you need to pass your exam on the first try.

About The SIE Exam Requirements And Information

The SIE is an introductory-level exam that assesses a candidate's knowledge of basic securities industry information and concepts fundamental to working in the industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices.

The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

There are no pre-requisites to taking the Securities Industry Essentials Exam, and once you pass your SIE exam, you have one full year to study for and pass your Series 7 exam.

How To Become A Stockbroker By Passing The Series 7 License Exam

The following are steps for how to pass the series 7 licensing exam and become a stockbroker. You can do many of these at your own pace, so you can work toward your Series 7 license on a timeline that works for your needs. Steps include:
  • Prepare for and Take the SIE
    The SIE is a new exam designed by FINRA to reduce subject matter redundancy between current Series exams. Questions on the SIE exam test your general knowledge of financial activities.

    You can choose to take the SIE either before or after your Top Off exam. However, many people find it much easier to obtain sponsorship - a required step before registering for the Series 7 exam - after they've passed their SIE exam.
  • Obtain a Sponsorship by a FINRA Member Firm
    Before you can register for your Series 7 exam, FINRA requires you to be associated with and sponsored by a FINRA or self-regulatory organization member firm. Your firm will register you for the exam by filling out a Form U4 (Uniform Application for Securities Industry Registration or Transfer Form) through the FINRA website. At this time, you'll be fingerprinted and undergo a background check.
  • Study for the Series 7 Exam
    After your sponsorship, you can start studying to take your Series 7 Top Off exam, either before or after passing your SIE. It covers numerous topics related to a stockbroker's four main job functions. To ace your exam, you'll need a comprehensive study plan that accounts for each of its four aspects. At AB Training Center, we provide all the tools and support necessary for outstanding success, including live and online seminars, online study guides, practice tests, printed materials and more.
  • Pass the Exam to Receive Your Series 7 Licence
    You'll need a score of 72 percent or better to pass your Series 7 exam and receive your license.
What Does A Stockbroker Do?

A stockbroker (aka a registered representative, investment adviser, or broker) is a professional who makes suggestions, executes buy and sell orders for stocks, bonds, and other securities, and helps to manage the financial portfolios of clients. You'll be qualified as a stockbroker upon passing your Series 7 exam, with covered activities and products including:
  • Securities such as such as stocks, bonds, mutual funds, and ETFs
  • Corporate Bonds
  • Municipal bonds and government securities
  • Limited Partnerships
  • Money market funds
  • Fixed and Variable Annuities
  • Commodities and Futures
  • Retirement planning and financial planning
Choose ABTrainingCenter.com For Your Series 7 License And Test Prep Materials

If you're ready to prepare for a prosperous future as a stockbroker, AB Training Center offers you the tools you need for success on your SIE and Series 7 exams.

Since 1994, we've helped thousands of rising financial professionals across the country ace their Series exams and find ongoing success and enjoyment in their profession. We've teamed with industry leaders like Kaplan Financial to offer numerous affordable course options to meet your needs.

Get the tools you need to ace your Series 7 exam. Contact us today for more information, or click on the available courses above to enroll in your SIE and Series 7 prep.

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