What is a Series 7 License?

Financial Industry Regulatory Authority pic
Financial Industry Regulatory Authority
Image: finra.org

An experienced and well-rounded financial professional, Darin Pastor is currently a managing director at JP Morgan Chase. In addition to an MBA from the University of Liverpool, Darin Pastor also holds numerous licenses and certifications including one in life and health insurance, and also the FINRA Series 7, 66, 63, 6, 24 licenses.

Managed by the Financial Industry Regulatory Authority (FINRA), a not-for-profit entity that regulates the securities industry through congressional authority, the Series 7 license is one of many certifications maintained by FINRA. Designed to ensure competency in those who are working in the securities industry, the Series 7 is awarded after successful completion of a General Securities Representative Examination (GS).

The exam addresses competency in areas including the sale of many different types of securities. These include municipal, corporate, governmental, and investment company securities in addition to options and direct-participation programs. For additional information on the Series 7 license and the GS exam, visit www.finra.org/industry/series7.

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