In the world of regulated finance, the Series 7 exam represents a critical milestone for financial professionals seeking to operate in the U.S. securities markets. For those looking to join an investment banking team, act as a placement agent, or participate in securities transactions, this FINRA-administered exam is essential for achieving compliance and gaining market access.
FINIQ, a FINRA-member broker-dealer offers broker-dealer sponsorship, Series 7 licensing support, and full-service FINRA compliance for investment banking and fund distribution professionals.
What Is the Series 7 Exam?
The Series 7 exam, officially called the General Securities Representative Qualification Examination (GS), evaluates the knowledge and competency of entry-level registered representatives. Passing this exam enables professionals to advise on and transact in a broad range of securities, including:
- Corporate stocks and bonds
- Municipal securities
- Investment company products (mutual funds, ETFs, UITs)
- Government securities
- Options and variable annuities
- Direct participation programs
To be eligible, candidates must also pass the Securities Industry Essentials (SIE) exam and be sponsored by a FINRA-member broker-dealer.
Why the Series 7 Exam Matters for FINRA & SEC Compliance
The Series 7 exam is not simply a test, it’s a regulatory requirement for individuals who wish to sell securities and operate within a FINRA-compliant framework. Earning a Series 7 license demonstrates readiness to engage in complex financial activities, including:
- Private placements and public offerings
- REITs, hedge funds, and structured products
- Venture capital and municipal securities transactions
It also enables professionals to support client portfolios with products requiring deep regulatory knowledge and transaction oversight.
At FINIQ, we offer turn-key broker-dealer compliance solutions, helping professionals and firms maintain alignment with FINRA and SEC compliance standards.
FINIQ: A Partner in Broker-Dealer Licensing and Exam Sponsorship
As a FINRA-member broker-dealer, FINIQ provides Series 7 Exam sponsorship and integrated solutions for investment professionals preparing for the Series 7 exam. Our services include:
- Exam sponsorship and CRD registration
- Testing fee coverage and streamlined onboarding
- Compliance supervision and regulatory filings
- Scalable infrastructure for investment banking, fund distribution, and third-party marketing teams
Whether you’re a new representative or a firm seeking to grow, FINIQ delivers the framework to stay compliant while operating at full capacity.
LEARN MORE ABOUT FINIQ COMPLIANCE SERVICES
Take the Next Step with Confidence
The Series 7 exam is more than a credential, it’s your entry point to the regulated securities industry. With FINIQ as your compliance partner, you gain access to a powerful platform designed to simplify licensure, supervision, and capital markets engagement.
Why Partner with FINIQ?
FINIQ is a powerful partner for financial advisors and firms seeking a FINRA-registered broker-dealer affiliation, offering a range of services designed to streamline your compliance and transaction processes. Here’s what makes FINIQ the right choice for your team:
Proprietary Tech-Enabled Solutions
Our tech-driven back-office solutions simplify compliance and transaction management, allowing you to focus on serving your clients. Our platform includes advanced tools for reporting, analytics, and communication, ensuring seamless workflows.
Cloud-Based Environment
With our cloud-based platform, you benefit from an end-to-end centralized digital investment banking system. This technology enables seamless access to vital tools and resources from anywhere, enhancing your operational efficiency and providing real-time insights into transactions.
Robust Compliance Framework
FINIQ provides a comprehensive compliance framework tailored to the needs of independent banking and fund distribution teams. We ensure you stay compliant with all regulatory requirements, including SEC and FINRA guidelines. Our compliance services include:
- Regulatory Filings: We handle all necessary filings to ensure adherence to regulations. This includes registration with the SEC, FINRA, and 50 States and Territories.
- Due Diligence Support: Our team conducts thorough due diligence to mitigate risks and enhance transaction success.
- Training and Resources: We offer ongoing training for your team to ensure compliance knowledge is current and applicable.
Access to a Powerful Network
Leverage FINIQ’s network of 120+ financial professionals and industry relationships to expand your reach and accelerate deal flow. Our platform connects you with strategic partners to drive meaningful business growth.
Partner with FINIQ
Ready to optimize your business with a trusted broker-dealer partner? Our team of compliance experts is committed to providing the support and resources you need. We help you navigate complex regulatory landscapes and implement best practices for compliance.
