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Series-7 - Series 7 - Dump Information

Vendor : Financial
Exam Code : Series-7
Exam Name : Series 7
Questions and Answers : 10 Q & A
Updated On : November 17, 2017
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Series-7 Questions and Answers

Series-7


QUESTION: 8

UGMA stands for .


  1. Uniform Grant to Minors Act

  2. Uniform Grant to Minorities Act

  3. Uniform Gift to Minors Act

  4. Uniform Gift to Minorities Act


Answer: C


QUESTION: 9

For the New York Stock Exchange, a company must have at least _ million


A. 1.0, 2000, 150

B. 1.0, 3000, 100

C. 1.1, 2000, 100

D. 1.1, 3000, 150


Answer: C


QUESTION: 10

is shorthand for regular way settlement.


  1. T + 3

  2. S + 2 C. Z + 1.5 D. N + 3.5


Answer: A


3


Financial Series-7 Exam (Series 7) Detailed Information

Series 7 Exam
This exam is administered by the Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary in order to make different types of trades with all types of general securities, excluding commodities and futures. It is also one of the steps necessary in order for a member firm associate to register with FINRA. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA. FINRA announced in 2015 that they will be making major changes to their exam structure by introducing The Securities Industry Essentials Exam (SIE)
1. Getting Started
2. Equities
3. Securities Transactions
4. Debt Securities
5. Municipal Securities
6. Packaged Securities
7. Retirement Accounts
8. Derivatives
9. Customer Accounts
10. Determining Customer Objectives
11. Portfolio Management
12. Risk and Tax Considerations
13. Rules and Regulations
The Series 7 exam is administered by the Financial Industry Regulatory Authority (FINRA) (previously the National Association of Securities Dealers (NASD)) and provides an individual with the qualifications necessary in order to process trades with all types of corporate securities, excluding commodities and futures. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA.
Because the Series 7 Examination intends to measure competence at an entry level, every effort is made to avoid including questions that can only be answered correctly by a small proportion of candidates. The measurement purpose of the Series 7 Examination is to determine whether or not a candidate has attained the level of competency required to function as a Registered Representative (RR), not to rate the candidate in relation to the candidate group. In other words, you are not competing with anyone. You are just taking an entry-level, pass-fail exam.Here is some more useful information:
Time Limit Six hours. Three in the morning, followed by a one-hour break, then three in the afternoon.
Questions 250 multiple choice questions Questions are comprised of inter-related components: functions, tasks, knowledge statements and rule knowledge
Passing Score 72%
Exam Fee $290 as of August 2012. For more see the FINRA Registration/Exam Fee Schedule.
Exam Date(s): Exams occur on any weekday. Find your US or International exam center here.
Prerequisites: You must be sponsored by a financial company who is a member of FINRA, or a Self-Regulatory Organization (SRO).
You probably already know about the Catch-22 inherent in getting a Series 7 license. To get a job in financial securities, you need a Series 7, but to get a Series 7, you need a job in financial securities.This presents a difficult, but not insurmountable, problem. There are similar hurdles to getting through any licensure or apprenticeship program for any job worth having. There is more than one way to get into the business, and within this section we will give you a few suggestions.
Series 7 Exam - General Securities Representative Examination (GS)
The Series 7 exam – the General Securities Representative Qualification Examination (GS) – assesses the competency of an entry-level registered representative to perform his or her job as a general securities representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.
The exam consists of 250 scored questions and an additional 10 unscored pretest questions. Candidates are given six hours to complete the exam and it is conducted in two three-hour sessions with 130 questions per session. The passing score is 72 percent.
Please see NASD Rule 1032(a) General Securities Representative for more information.
ON THIS PAGE
Content Outline
Eligibility
Permitted Activities
Taking The Exam
Key Questions
Using Reference Materials
Content Outline
The Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. It includes sample questions to acquaint a candidate with the types of multiple-choice questions on the exam. The outline is comprised of the five main job functions of a Series 7 representative:
Function 1—Seeks business for the broker-dealer through customers and potential customers
Function 2—Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objective
Function 3—Opens accounts, transfers assets and maintains appropriate account records
Function 4—Provides customers with information on investments and makes suitable recommendations
Function 5—Obtains and verifies customers’ purchases and sales instructions, enters orders, and follows up
Download: Series 7 Content Outline
Eligibility
The Series 7 does not have a prerequisite exam.
Please see Register a New Candidate for more information on the registration process.
Permitted Activities
A candidate who passes the Series 7 exam is qualified for the solicitation, purchase and/or sale of all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts.
Covered activities and products include:
Public offerings and/or private placements of corporate securities (stocks and bonds)
Rights
Warrants
Mutual funds
Money market funds
Unit investment trusts (UITs)
Exchange traded funds (ETFs)
Real estate investment trusts (REITs)
Options on mortgage-backed securities
Government securities
Repos and certificates of accrual on government securities
Direct participation programs
Securities traders
Venture capital
Sale of municipal securities
Hedge funds
Taking the Exam
The table below lists the allocation of exam questions for each main job function of a general securities representative.
Major Job Functions Percentage of Test Questions Number of Test Questions
(F1) Seeks business for the broker-dealer through customers and potential customers 27% 68
(F2) Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objectives. 11% 27
(F3) Open accounts, transfer assets, and maintains appropriate account records. 11% 27
(F4) Provides customers with information on investments and makes suitable recommendations. 28% 70
(F5) Obtains and maintains customer’s purchase and sales instructions, enters orders, and follows up. 23% 58
TOTAL 100% 250
See On the Day of Your Exam for more information.
Key Questions
1. If I pass the Series 7, will I be able to trade municipal securities?
If an individual took and passed the Series 7 prior to November 7, 2011, he or she will be able to trade municipal securities, structure municipal securities underwritings and perform certain other activities involving municipal securities.
If an individual took and passed the Series 7 on or after November 7, 2011, he or she will be qualified to engage only in municipal securities sales to, and purchases from customers. If an individual wants to be qualified to structure municipal securities underwritings or perform activities involving municipal securities that are beyond the scope of selling municipal securities to and purchasing municipal securities from customers, that individual would have to take and pass the Series 52 (Municipal Securities Representative Exam).
2. Does Series 7 serve as a pre-requisite to the Series 53 (Municipal Securities Principal Exam)?
If an individual took and passed the Series 7 prior to November 7, 2011, he or she is qualified to sit for the Series 53 examination.
If an individual took and passed the Series 7 on or after November 7, 2011, he or she would have to take and pass the Series 52 (Municipal Securities Representative Exam) as a prerequisite to taking the Series 53 examination.
3. What is the difference between Series 7 and Series 62?
The General Securities Representative Examination (Series 7) is an entry-level examination that qualifies the individual for registration with all self-regulatory organizations to trade:
corporate stocks and bonds
rights
warrants
real estate investment trusts (REITs)
collateralized mortgage obligations (CMOs)
municipal securities
options-equity, index, and foreign currency
investment company products/variable contracts
direct participation programs
exchange traded funds (ETFs)
The Corporate Securities Limited Representative Examination (Series 62) satisfies a FINRA qualification requirement for individuals who will trade corporate securities only. These include:
corporate stocks and bonds
rights
warrants
REITs
collateralized mortgage obligations (CMOs)
exchange traded funds (ETFs)
Using Reference Materials
The test administrator will provide whiteboard/dry erase marker and basic electronic calculators to the candidates, which must be returned to the test center administrator at the end of the testing session. Some test questions involve calculations. Only the provided calculators may be used during the examination.
The examination may contain questions that require the use of exhibits (e.g., charts, graphs, tables). If so, the questions will indicate when to refer to an exhibit.
Candidates are not permitted to bring any reference materials to testing sessions. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA administered examinations.

Brotman Financial Group Hires Two

Brotman Financial Group, ., a financial services firm whose professionals offer wealth management services to multi-generational families, announced today that two new professionals have joined its staff – Beth Nori and Ashley Montague.

Beth Nori joins the firm as an associate advisor, assisting the firm’s lead advisors with the development and updating of financial plans. She attends client meetings and assists with the pre-meeting preparation and the post-meeting follow-up. Beth also serves as a member of the firm’s investment committee, where she assists in the selection of asset managers and investment vendors and partners.

Ms. Nori has over four years of experience in the financial services industry, having spent three years as an Operations Specialist and one year as a Client Relationship Manager with her prior employer. She holds a Bachelor of Science degree from Salisbury University, and is currently preparing for the FINRA Series 7 (General Securities Representative) and Series 66 (Uniform Combine State Law Examination).

Ashley Montague is a new investment operations associate on Brotman Financial Group’s Investment Operations team, and is responsible for managing the reconciliation and performance reporting of client accounts, as well as client online access.

Ms. Montague graduated Cum Laude from Towson University in 2011, where she earned a Bachelor’s Degree in Business Administration. She is pursuing her MBA at Loyola University Maryland, as well as preparing for the FINRA Series 7 (General Securities Representative) and Series 66 (Uniform Combine State Law Examination) currently.

Brotman Financial Group currently employs 13 full-time staff members and services more than 300 clients nationwide.

About Brotman Financial Group, .

Founded in 2003 and based in Timonium, Md., Brotman Financial Group, . is an independent financial services firm whose team of Certified Financial PlannerTM Professionals provides individuals, small businesses and families with investment, retirement, estate, insurance and business planning. Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRASIPC. Investment advisory services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. Brotman Financial is not affiliated with Kestra IS or Kestra AS. For more information, please call 410-252-4555 or visit .brotmanfinancialm.

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Beth Nori and Ashley Montague | Brotman Financial Group.

Beth Nori has been named an associate adviser and Ashley Montague is a new investment operations associate with Brotman Financial Group.

Nori will assist the firm’s lead advisers with the development and updating of financial plans. She will attend client meetings and assist with the pre-meeting preparation and post-meeting follow-up. Nori will also serve as a member of the firm’s investment committee, where she assists in the selection of asset managers and investment vendors and partners. Nori has more than four years of experience in the financial services industry, having spent three years as an operations specialist and one year as a client relationship manager with her prior employer. She holds a Bachelor of Science from Salisbury University and is preparing for the FINRA Series 7 (general securities representative) and Series 66 (uniform combine state law examination).

Montague joins Brotman’s investment operations team, and will be responsible for managing the reconciliation and performance reporting of client accounts, as well as client online access.  Montague graduated cum laude from Towson University with a bachelor’s degree in business administration. She is pursuing an MBA at Loyola University Maryland and  preparing for the FINRA Series 7 (general securities representative) and Series 66 (uniform combine state law examination).

Information in Movers and Shakers is provided by the submitter. To submit a Movers and Shakers item, visit 

New Wealth Advisor Joins Mountain America Credit Union

Nov 09, 2016 (Marketwired via COMTEX) -- WEST JORDAN, UT--(Marketwired - November 09, 2016) - Mountain America Credit Union proudly welcomes Joshua Cook, the newest LPL Financial advisor at LPL Financial at Mountain America Credit Union. Cook serves the Uintah Basin, including Vernal, Roosevelt and Altamont, plus the Moab area.

"I aim to provide members with an exceptional service experience," says Cook. "I believe the greatest probability of success comes from simplicity, a principle that I make a priority for every member I work with."

Cook's career spans over 16 years of experience in various roles within the financial industry. A graduate of Weber State University, he received his bachelor of science in finance and business administration. Cook holds the following registrations through LPL Financial: FINRA Series 7, 63, 65 securities licenses, as well as a Utah life insurance agent's license.

Cook is a long-time resident of the Basin. During his free time, he enjoys travel, the outdoors and shooting. His wife Cami and their three children are excited to continue to make the Basin their home for a long time to come.

Mountain America contracts with LPL Financial, one of the nation's leading diversified service companies and the largest independent broker-dealer, to offer investment services.

Securities and Financial Planning offered through LPL Financial, a Registered Investment Advisor. Member FINRASIPC. Insurance products offered through LPL Financial or its licensed affiliates. The investment products sold through LPL Financial are not insured Mountain America Credit Union deposits and are not FDICNCUA insured. These products are not obligations of Mountain America Credit Union and are not endorsed, recommended or guaranteed by Mountain America Credit Union or any government agency. The value of the investment may fluctuate, the return on the investment is not guaranteed and loss of principal is possible. Mountain America Federal Credit Union is not a registered brokerdealer and is not affiliated with LPL Financial.

Mountain America Credit Union has more than $5.7 billion in assets and serves more than 600,000 members, wherever they are, through online and mobile banking, 86 branches in five states, and access to more than 50,000 surcharge-free ATMs and 5,000 shared-branching locations nationwide. With roots dating back to the 1930s, Mountain America offers a variety of financial products and services for consumers and businesses, including savings accounts, auto loans, checking accounts, mortgage loans, business checking, student loans, SBA loans and retirement options. .macum for more information.

About LPL Financial LPL Financial, a wholly owned subsidiary of LPL Financial Holdings . LPLA, -0.30% is the nation's largest independent brokerdealer (based on total revenues, Financial Planning magazine, June 1996-2016), an RIA custodian, and an independent consultant to retirement plans. LPL was founded with a pioneering vision: to help financial advisors offer truly independent financial guidance and advice. Today LPL provides an integrated platform of proprietary technology, brokerage, and investment advisory services to over 14,000 financial advisors and 700 institutions as the nation's largest independent brokerdealer, making them a leading distributor of financial products in the United States. In addition, LPL Financial supports approximately 4,000 financial advisors licensed with insurance companies by providing customized clearing, advisory platforms and technology solutions. LPL Financial and its affiliates have more than 3,000 employees with primary offices in Boston, Charlotte and San Diego. For more information, please visit .lplm.

Media Bryan Packer 801-325-6439 Email contact

2016 Nasdaq, . .

Customer Relationship Advocate - Salt Lake City - 1611250

The Expertise We’re Looking For

  • Relationship building skills
  • Commitment to customers
  • Experience in service, healthcare, or hospitality in people facing industries are strongly preferred.
  • This is a full time hourly position that offers the opportunity for overtime based on the business needs and your availability.

    The Purpose of Your Role

    You bring your passion, we’ll invest in you.  Yes, we are in financial services, but not in the competitive and old-fashioned way you might be thinking.  We offer an industry-leading, paid development program that will prepare you to engage with customers while obtaining your Series 7 and 63 licenses where you will learn all about the financial services industry products.   These inbound phone calls, chats, and email interactions can range from something as simple as an account balance inquiry to the complexity of helping inform difficult financial decisions, but your mission remains the same:  help customers feel more confident, make clearer decisions, and achieve their own financial dreams.

    The Skills You Bring

  • Your unwavering commitment to customers
  • Desire to learn and dedication to study and apply a new concepts in order to obtain your financial licenses
  • The Value You Deliver

    At Fidelity, collaboration isn’t just about working together in our small teams (15ish); it’s about improving lives together.  Our success as a firm is due to the personal responsibility and pride our associates take in getting things just right, and the compassion that drives us to go the extra mile for our customers and each other.  We ask for and act on our associates’ input on everything from busting through customer issues to designing our workspaces. 

    Your Life

    We believe that a balanced life is important. Our benefit programs are designed to help you and your loved ones balance the needs of work, life and family.  Sound too good to be true?  See for yourself and learn more about our benefit offerings. 

    Fidelity Investments was recognized as the Glassdoor Candidates’ Choice Awards for 2015 and CareerBliss 50 Happiest Companies in 2015.

    Apply now to learn more!

    Company Overview 

    At Fidelity, we are focused on making our financial expertise broadly accessible and effective in helping people live the lives they want. To do this well, as a privately held company, we place a high degree of value in nurturing a work environment that attracts the best talent and reflects our commitment to being an employer of choice. For information about working at Fidelity, visit Fidelitycareersm 

    Fidelity Investments is an equal opportunity employer

  • Do financial advisors need to pass the Series 7 exam?

    Q:

    The exact nature of a financial advisor's job responsibilities determines whether he must have a Series 7 license. If a financial advisor is going to act in the capacity of selling all types of general securities, such as common and preferred stock, stock options and debt securities, then he must pass the Series 7 exam and thereby obtain a Series 7 license.

    Any financial advisor who sells investment products, as opposed to merely offering financial advice, must have the appropriate license. Federal licensing is provided by the Financial Industry Regulatory ity, or FINRA, while states use exams and licensing provided by the North American Securities Administrators Association, or NASAA.

    FINRA Licenses

    The principal FINRA licenses are the Series 6, Series 7 and Series 3. The Series 6 license grants financial advisors the right to buy and sell on behalf of their clients a small number of basic investment products, such as mutual funds and annuities.

    The Series 7 license enables financial advisors to engage in buying and selling virtually all securities-related investment products, including common and preferred stock, government and corporate bonds, and options. This is the license required for stockbrokers.

    The Series 3 license is for brokers or financial advisors who handle commodity futures trading on behalf of their clients.

    To obtain any of these licenses, a financial advisor must be employed by a financial firm, such as a brokerage, that is registered with FINRA. Upon passing the required license exam, the financial advisor becomes a registered representative of the firm.

    NASAA Licenses

    The basic NASAA license governing state qualification, the Series 63 license, known as the Uniform Securities Agent license, is required for any individual who conducts business as a financial advisor.

    The Series 65 license is for financial advisors who only provide fee-based financial advice to clients but do not directly buy or sell securities.

    The Series 66 license enables financial advisors to act in the capacity of broker-dealers, authorized to directly buy and sell investment products. A prerequisite to taking the Series 66 exam is having a Series 7 license.

    A:



    References:


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