 
|
|
How can I contact the Financial Industry Regulatory Authority (FINRA)?You can call FINRA at 301-590-6500 or visit their website at www.finra.org.Can I take the exam preparation course before I have a company sponsor?You may take the prep classes before having company sponsorship. However, before you can schedule an appointment to take your exam, your selected Broker-Dealer firm must file the proper application and testing fee for you with the Financial Industry Regulatory Authority (FINRA).What are the continuing education requirements for securities licenses?Each Broker-Dealer firm is responsible for developing their own plan (subject to audit) for continuing education requirements to ensure their members are current with changes in the securities field.How do I become a Certified Financial Planner (CFP)?Contact Kaplan/Schweser at 888-325-5072 or www.schweser.com/cfp.Should I also obtain a Life/Health Insurance license along with my securities license?Many people who hold a securities license also obtain a Life/Health Insurance license so that they may serve clients who would like to purchase variable life insurance, variable annuities, or long-term care insurance in the estate planning process. For insurance licensing courses, click here.Are any of the securities exam preparation courses approved by the Veteran's Administration?Yes, the following courses are approved by the Veteran's Administration: Series 6 and Series 7.If you are entitled to VA benefits, be sure to tell us when you register. After completing your courses and submitting the appropriate paperwork, you will be reimbursed by the VA based on your entitlement.
Introduction
• Obtaining a License •
About
the Exam
• Courses
Privacy Policy • User Agreement
© 2010, Kaplan Professional Schools,
Inc., All Rights Reserved.
|
