How the Series 24 Helps You Advance to Management

🟩 How the Series 24 Helps You Advance to Management
Take the leap from rep to leader.

If you’re ready to move beyond client-facing roles and into supervisory or management positions within a broker-dealer, the Series 24 exam is your gateway. Also known as the General Securities Principal Exam, it qualifies you to oversee and manage the activities of registered representatives—and opens doors to higher responsibility, credibility, and compensation.

🏛 What Is the Series 24?

The Series 24 is a FINRA-administered licensing exam that qualifies individuals to act as:

• Branch managers
• Sales supervisors
• Compliance officers
• Trainers of reps and junior staff

Once licensed, you can supervise activities related to:

• Corporate securities
• Investment banking
• Trading and market-making
• Advertising and sales literature
• Customer account operations

📌 Note: It does not allow supervision of options (Series 4) or municipal securities (Series 53)—those require additional licenses.

📈 How Series 24 Supports Career Advancement

✅ 1. Elevates You to a Leadership Role

Holding the Series 24 license is often a minimum requirement for internal promotions at brokerage firms. It gives you the legal authority to supervise reps and approve transactions.

✅ 2. Boosts Your Professional Value

Supervisory positions come with higher salaries, bonuses, and long-term career security. Employers value reps who can lead teams and ensure compliance.

✅ 3. Expands Your Impact

As a licensed principal, you become responsible for firm-wide functions such as:

• Supervising sales teams
• Approving new accounts
• Reviewing communications and advertising
• Enforcing compliance procedures

You transition from executing trades to shaping firm policy.

✅ 4. Prepares You for Executive Paths

Many executives in brokerage firms—Directors of Compliance, COOs, and Managing Directors—start with a Series 24 before moving into broader regulatory or strategic leadership roles.

🎓 Who Should Take It?

• Registered reps with Series 7 or equivalent licenses
• Professionals looking to move into compliance, management, or oversight roles
• Firms that require new branch office managers or supervisors

📚 What to Expect on the Exam

• 150 multiple-choice questions
• 3 hours and 45 minutes to complete
• Passing score: 70%
• Topics include:
  • Supervision of investment banking and trading
  • Sales practices and client communications
  • Regulatory frameworks
  • Business operations and recordkeeping

🚀 Ready to Step Up?

Our Series 24 prep course gives you lifetime access to video lessons, real-world scenarios, practice tests, and exam strategies.
👉 Advance your career at finra-exam-mastery.com
Get licensed. Get promoted. Lead with confidence.