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- Investment risk
- Equity, and debt instruments
- Interactions with clients
- Packaged Securities
- Taxation
- Options
- Retirement plans
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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FINRA Series 7 Certified Professional Salary
The average Salary of a Series 7 Certified Professional Salary in
- United States: 90,000+ USD
- India: 12,00,000 INR
- Europe: 35,864 Euro
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Makes Recommendations and Transfers Assets | - Account transfers and asset movement procedures - Suitability and recommendation rules |
| Processes Customer Orders | - Order entry, execution, and settlement basics - Trade reporting and confirmation procedures |
| Provides Information About Investments | - Equities, fixed income, and packaged products - Taxation and risk characteristics |
| Evaluates Customers' Financial Profile | - Customer investment objectives and risk tolerance - Financial status and suitability assessment |
| Seeks Business for the Broker-Dealer | - Prospecting clients and marketing products - Understanding regulatory constraints on communications |
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