FINRA Series 7 Tutoring

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Series 7 EXAM Overview

Individuals who want to enter the securities industry must take the Series 7 exam covering four major job functions:

  • Seeking business for the broker-dealer from customers and potential customers
  • Opening accounts after obtaining and evaluating customers' financial profile and investment objectives
  • Providing customers with information about investments, making recommendations, transferring assets and maintaining appropriate records
  • Obtaining and verifying customers' purchase and sales agreements, processing, completing, and confirming transactions

For a more detailed exploration of the concepts covered on the Series 7 exam, visit


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