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Series 7 Top-Off


Series 7 – (Known as the General Securities Representative Exam (GS)).  The Series 7 general securities registered representative license administered by the Financial Industry Regulatory Authority (FINRA) entitles the holder to sell all types of securities products with the exception of commodities and futures.

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

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