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Patty Piatt

You must first pass the Series 7 Securities exam. You will need a "Broker/Dealer" (financial institution) to sponsor you. I would first start working as an intern with one. This will assist you in determining if this really is the career you want. If it is, ask to have them sponsor you for the exam. If they do, they are taking a vested interest in you and you may need to work for them for a period of time. There are many directions you can take once you have your Series 7. Pls note, some states require a Series 66 as well. This is a state by state requirement. If you want to be a stock broker you may want to head to NYC or Chicago and work in the trading floor. If you want to work with clients to prepare them for long term goals ( retirement, estate planning etc) you may want to work with a firm. Once you have some experience you can also be an "Independent." This means you have your own small firm and work with a broker dealer instead of for a broker dealer. I suggest you visit the FINRA.org site and read up on more information. (Financial Industry Regulatory Authority) Hope this helps!

Answered 8 years ago

Patty Piatt