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STOCK BROKERS

A registered representative is an individual employed (or associated with) a broker-dealer firm who buys and sells securities for clients. Registered representatives also known as registered reps or 'stockbrokers', must pass the Series 7 FINRA license as well as the Series 63 exam to trade securities for clients of the broker-dealer firm. The Series 7 license gives the registered representative the ability to trade equities, fixed income, and options derivatives for a variety of clients. FINRA also offers a limited version of the Series 7 exam called the Series 6. The Series 6 allows someone to trade variable annuities and mutual funds only. The Series 7 is a General Securities License and allows the rep to trade a broader range of securities than the Series 6 exam.

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Latest Activity: Apr 14, 2011

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