FINRA Exam Sponsorship
Most investment bankers and M&A professionals believe the Series 79 examination is all that’s required by FINRA to become fully registered. That is actually not the case. While the Series 79 is the most talked about, you may need the 79 in addition to other FINRA exams. Some of the many exams that may be required are the Series 7, Securities Industry Essential (SIE) exam or 82. We can sponsor you for all required examinations. Please contact us if you would like help assessing exactly which examinations may be required based on your unique business model.
We Have The Experience
Bridge Capital Associates, Inc. is a broker/dealer specifically established in 2007 to service the registration and compliance needs of investment bankers, M&A advisors and professional finders. New regulations make proper securities licensing more important than ever. Starting and running your own broker/dealer can be time intensive and very expensive. We offer the ability to conduct your securities-related business under our broker/dealer platform with minimal modifications to your existing corporate identity and infrastructure. Our goal is to streamline regulatory compliance to allow our bankers to focus their time and talent on their clients’ transactions.
Partner with Us
A relationship with Bridge Capital Associates, Inc. means you can keep your existing brand and email address, as well as your existing non-securities related business. For a nominal fee Bridge Capital will run your securities transactions through our broker/dealer and ensure compliance is maintained with FINRA, the SEC and the various state regulators.
Call Carrie Wisniewski at 770-923-9632 or email her at email@example.com for more information.
Securities professionals are required to pass a series of qualifying exams that are administered by the Financial Industry Regulatory Authority (FINRA) to become officially registered. FINRA licensing exams demonstrate each securities professional’s competence in their field. Before you can engage in investment banking, you must first pass these exams to obtain your FINRA investment banking license.
These different exams, including broker dealer exams, cover a broad range of topics. This ensures individuals who are going into their fields are competent regarding the markets, securities industry, and the industry’s regulatory structure. Individuals need to be knowledgeable of FINRA rules and regulations alongside the rules and regulations of other self-regulatory organizations.
The reason behind the exam is to ensure that each individual set to become a securities professional has a minimum level of expertise and understanding before entering into the field to assist the needs of others.
Why Get FINRA Exam Sponsorship?
FINRA exams are required for individuals to become licensed securities professionals. However, the exams required for licensure are also costly. What’s more, registration fees can add up and make your examination costs that much more expensive.
This can make it difficult to achieve the licensing you need to take the next step in your career. That’s where the associates at Bridge Capital come in.
Bridge Capital Associates offers securities professionals series 79 sponsorship, series 82 sponsorship, and broker dealer sponsorships so you can focus on passing your exams and becoming certified instead of focusing on the cost.
Sponsorship for your FINRA exams means that an active financial firm that’s regulated by FINRA, in this case Bridge Capital, pays the testing fees required for your exams and submits your personal information to FINRA’s Central Registration Depository (CRD).
This opens your testing window and gives you 120 days to pass your FINRA exams without restarting the process, which would otherwise require a new fee. When you’ve passed your exams successfully, you’ll be eligible for registration and Bridge Capital assumes responsibility for supervising your ongoing activities in the industry.