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Guide to Investment Broker Licensing
Obtain a broker licensing certificateThere are many series exams for a license. You don't need to take all of them; you just want to focus on ones that pertain to you. Investigate schools where you can take stock broker licensing courses; the good news is that you can find such schools online. Here are three series stock broker licensing exams you can pursue:
1. Series 3 investment broker license if commodities are your specialty
2. Series 4 investment broker license in order to be a registered options principal
3. Series 7 investment brokers license if you’re interested in being a general securities representative
Action Steps
The best contacts and resources to help you get it done
Get a Series 3 investment broker license if you want to specialize in commodities
If you want to specialize in futures or commodities, you'll want to invest in Series 3 licensing training. Series 3 licensing training is about preparing for the exams in hedging, options, contracts and futures. You also will learn about the rules that make up CFTC (Commodity Futures Trading Commission) and NFA (National Futures Association). Other topics that are covered for the Series 3 investment banking licensing exam are margins, clients' accounts and orders.
I recommend:
Knopman Financial Training provides Series 3 broker licensing courses. This investment broker licensing firm has been in business since 1991 by Harvey Knopman. It offers other various broker licensing classes. Kaplan Financial Training also offers materials to get you ready for the Series 3 broker licensing training exam. You can prepare in various ways, including learning in the classroom, buying the CD or taking the online courses.
Acquire a Series 4 investment broker license if you want to be a registered options principal
Taking Series 4 brokerage licensing courses and passing the exam are required to be a registered options principal. It also focuses on how well you know trading options, including equity, debt, index and foreign currencies. You'll also need to know the rules and regulations about the Exchange and Options Clearing Corp.
I recommend:
BankTrainingCenter.com offers broker licensing courses on getting Series 4. You can either take these broker licensing education courses through self-study, webcasts or in seminars. You can also go through ABTrainingCenter.com to take these investment broker licensing classes.
Get a Series 7 investment brokers license if you want to be a general securities representative
Series 7 involves diverse courses. You'll be studying equity and debt securities just as you will for other series courses. In addition, you will also study about retirement plans, securities markets and regulations. Another area that Series 7 covers is taxation.
I recommend:
Empire Stockbroker Training Institute offers Series 7 exam courses, in addition to other investment broker licensing courses. It’s the largest investment broker licensing school on Long Island. You can go through American Investment Training to take broker licensing training courses.
Tips & Tactics
Helpful advice for making the most of this Guide- Before you spend money on broker licensing courses, inquire about the ratio of students who have passed the exam after taking the course.
