What Jobs Require a Series 7 License?

🧾 What Jobs Require a Series 7 License?
💼 Your Gateway to a Career in Full-Service Securities Sales

The Series 7 license, officially known as the General Securities Representative Exam, is one of the most sought-after licenses in the financial industry. It allows you to sell virtually all types of securities and is essential for anyone pursuing a career in full-service brokerage, trading, or wealth management.

🔑 Jobs That Require a Series 7 License

Here are some of the most common and high-demand roles where a Series 7 is a must-have:

💬 1. Financial Advisor / Wealth Manager

• Build long-term client relationships
• Create customized investment portfolios
• Buy and sell stocks, bonds, ETFs, mutual funds, options
• Offer retirement and estate planning solutions

Often paired with the Series 66 for advisory roles

📊 2. Registered Representative (Broker)

• Work at a broker-dealer executing securities trades for clients
• Provide product recommendations based on suitability
• Facilitate account openings and order placements

Series 7 is the core license for this role

💹 3. Investment Consultant

• Advise clients on investment strategies
• May operate in banks, financial institutions, or call centers
• Sell a wide variety of financial products including equities and fixed income

💻 4. Trader / Equities Sales Trader

• Execute trades on behalf of institutions or retail clients
• Work with market makers, hedge funds, and large portfolios
• Requires knowledge of market mechanics, volatility, and compliance

🏦 5. Private Banker / Client Advisor (High Net-Worth Focus)

• Offer full-service financial solutions to affluent clients
• Manage complex portfolios and family wealth structures
• Sell investment products as part of holistic financial planning

🏛️ 6. Institutional Sales Representative

• Work with large clients such as pension funds and endowments
• Recommend and trade stocks, bonds, and structured products
• Requires deep product knowledge and compliance with regulatory standards

💼 7. Compliance Analyst (at Broker-Dealer Firms)

• While not always required, Series 7 adds value in supervisory and compliance roles
• Understands the sales process and suitability rules
• Helps oversee reps’ activities to ensure they meet FINRA and SEC standards

🧠 What Series 7 Allows You to Sell

With Series 7, you’re licensed to sell:

• Stocks & Bonds
• Mutual Funds & ETFs
• Options & Variable Annuities
• Municipal Securities
• Corporate Debt Instruments
• Money Market Instruments

Note: It must be combined with Series 63 or 66 to operate in most U.S. states

🎓 Get Licensed, Get Hired

The Series 7 license is a career launcher. Whether you’re planning to advise individuals, manage wealth, or trade for institutions, this license gives you the authority to handle a broad spectrum of client needs.

🎯 Prepare with expert-led courses and lifetime access at
👉 https://finra-exam-mastery.com

Open the door to high-impact roles in finance—earn your Series 7.