Be sponsored by a FINRA-member firm
Pass the Securities Industry Essentials (SIE) exam
Have your firm file Form U4 through CRD
Register for the Series 7 exam after sponsorship
Study the Series 7 exam content outline
Prepare for topics including equity, debt, options, packaged products, retirement plans, and regulations
Schedule and take the Series 7 exam
Achieve a passing score
Complete any firm or state registration requirements
Maintain registration with continuing compliance and any required continuing education