Depending on which type of broker dealer exam you are taking, you may need FINRA exam sponsorship. The most talked-about exams are often not the best exams for your specific needs; however, most exams do require sponsorship.
FINRA licensing exams are an important step in getting the credentials that you need. FINRA exam sponsorship ensures that you can get your career in finance on the right track.
Series 79 Sponsorship
Many investment professionals are under the impression that series 79 sponsorship is the only FINRA exam sponsorship that they need. This is not true in many cases. Broker dealer sponsorship for series 82, series 7, and more can be very valuable to your career.
Ideally, you will connect with a firm that can provide sponsorship across the board, and help you to streamline the regulatory process. Your investment banking license exams can be simplified with the right sponsorship in place.
Focus On Clients
Connecting with a firm that specializes in helping broker dealers in navigating the regulatory requirements, including providing FINRA exam sponsorship, allows you to put your focus where it matters.
One firm whose employees are registered as broker dealers with the Financial Industry Regulatory Authority can simplify your sponsorship needs and help you stay focused on your core obligations. The right firm will be there to support you and your organization.
FINRA licensing exams can be simplified when you have the right support. Navigating the process on your own is not the best option. You can stay focused on your business and leave all the leg work up to a professional compliance firm.
There are about 17,000 investment firms in the U.S. Many of them are small independent firms. If you are an independent firm, you need to align yourself with a sponsor that can help you get the licensing you need in place to succeed.
The Perks of Working With a Professional Sponsorship Firm
Having the right team on your side to support your enterprise means you get to take advantage of:
- Chaperoning services for foreign broker dealers
- FINRA exam sponsorship
- Partnering with a professional firm that can run all your securities through them while you keep your brand
With the current financial climate, it is more important than ever to have the proper licensing, support, and backing of a well-respected firm. Of course, that does not mean that you have to give up your independence. It simply means you have to partner with a firm that wants you to keep your independence while they help you get your business in order.