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How can I get sponsorship to take the Series 7 and 63 even though I'm currently unemployed.

Asked by trebiash

Posted in Qualifications and Investment Banking / M & A

01 May 2008

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Answers (3)

  • clearly, you have not done much of a research at your end. you need sponsorship for series 7 but you DO NOT need sponsorship for series 63. study "pass the 63" by Robert Walker and register for the exam by filing form U-10, available on FINRA's website. as for series 7- if you are currently unemployed, it might be a little tricky. you can still try and find a boutique brokerage firm who is willing to file U-4 on your behalf, which means sponsorship, and you can pay for the exam from your own pocket, which is not a lot anyways. also, if you are not employed, then passing series 7 will not make much of a sense because if you are not affiliated with any FINRA registered firm (means you are not working), the license is valid only for a certain period of time- you might have to re-take it once you start working, though not sure how exactly would that work out. good luck. ps: I am not endorsing Walker's book; just suggesting- it is indeed a very good text to prepare for series 63.

    pwalia01 07 Sep 2008

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  • I don't think you can. You have to be sponsored by a broker-dealer, I think. However, you can improve your prospects in the job hunt by pursuing the CFA.

    pkprasad 22 Jul 2008

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  • Thanks for Asking this question, I was wondering the same thing.

    caesarkamata 06 Jun 2008

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