Finra Exams on Resume

Should You List Finra Exams on Resume

In the United States financial industry, particularly for positions regulated by FINRA (Financial Industry Regulatory Authority), listing your passed finra exams can significantly enhance your credentials and demonstrate your proficiency in various aspects of securities trading. However, this may not be as common or relevant in other industries or regions outside the US.

Why to List Finra Exams on Resume

• Demonstrates Regulatory Knowledge: Passing FINRA exams shows that you understand and adhere to regulatory standards essential for maintaining a secure and fair market.
• Professional Credibility: Finra exams validate your understanding of essential investment concepts, making you a more desirable candidate in the financial sector.
• Specific Role Requirements: Some positions may require specific finra licenses, such as Series 7 or Series 63, and listing them can streamline the hiring process.

Where to List Finra Exams on Resume

Your finra exams should be listed in the following sections of your resume:

• Professional Summary: Briefly mention your passed finra exams if they are relevant to the position you're applying for.
• Work Experience: If a finra license is essential for the role, include any relevant licenses you hold in the job description bullet points.
• Education/Certifications: Create a separate section for any certifications or licenses you have obtained, including finra exams.

Examples of How to List Finra Exams on Resume

Example 1: Professional Summary

Financial Advisor with Series 7 and Series 66 registered licenses, providing comprehensive wealth management services to clients. Proven track record in investment strategy development, risk management, and regulatory compliance.

Example 2: Work Experience

• Wealth Management Associate, ABC Bank (2018-Present)

• Manage a portfolio of over $30 million in client assets.
• Obtained Series 7 and Series 66 licenses to expand my skillset and better serve clients.

Example 3: Education/certifications

• Certified Financial Planner (CFP)

• Northwestern University, Chicago, IL (2015)

  • FINRA Licenses:

• Series 7, General Securities Representative Qualification Examination (2018)
• Series 66, Uniform Combined State Law Examination (2019)

What to Avoid While Listing Finra Exams on Resume

• Incorrect Information: Ensure that all listed finra exams are accurate and up-to-date. Outdated or incorrect information may raise concerns about your attention to detail and commitment to regulatory compliance.
• Listing Unnecessary Exams: Only list relevant finra exams for the position you're applying for. Including unrelated exams can confuse potential employers and dilute the importance of your actual qualifications.
• Not Explaining Their Relevance: If finra exams are not directly related to the job, explain how they have contributed to your professional development or skills in a broader sense. This context helps hiring managers understand their value to you and the role you're applying for.

How to List Other Finra Exams (e.g., Series 8, Series 99) on Resume

Best Practices for Listing Other Finra Exams:

• Specify the Exam Series: Clearly mention the specific series of Finra exams you have passed, such as Series 8 or Series 99. This helps employers understand the type and level of your expertise.

  Example: Finra Exams: Passed Series 99 - General Securities Sales Supervisor Operational Principal Qualification Examination

• Include the Date: Provide the date when you passed each exam. This gives employers an idea of how current your qualifications are.

  Example: Finra Exams: Passed Series 8 - General Securities Registered Options Principal Qualification Examination on January 1, 2020

• Highlight Relevant Experience: Briefly explain how this specific exam series relates to the job you are applying for. This demonstrates your understanding of its importance and relevance.

  Example: Finra Exams: Passed Series 8 - General Securities Registered Options Principal Qualification Examination in 2020, which supports my application as a Senior Options Trader due to the role's requirement for extensive knowledge of options trading and supervision.

• Group Finra Exams Together: Organize all your Finra exams under one section on your resume. This makes it easy for employers to find this important information quickly.

  Example: Certifications:

  • Finra Exams:
    • Series 8 - General Securities Registered Options Principal Qualification Examination (2020)
    • Series 99 - General Securities Sales Supervisor Operational Principal Qualification Examination (2015)

Example 1: Other Finra Exams (e.g., Series 8, Series 99) on Finra Exams Resume

In this example, the job seeker is applying for a role in options trading and has passed both the Series 8 and Series 99 exams. They have grouped these exams together under the "Certifications" section and provided context about how their qualifications are relevant to the position they are seeking.

Example 2: Other Finra Exams (e.g., Series 8, Series 99) in Finra Exams Context

In this second example, the job seeker is a senior-level financial advisor who has passed several Finra exams, including Series 8 and Series 99. They have chosen to list these exams under their "Certifications" section and provide context about how their extensive experience in securities trading and supervision makes them a strong candidate for the role they are pursuing.

By following these best practices, you can effectively showcase your Finra exams on your resume and make it easier for employers to understand your qualifications and the relevance of those qualifications to the job you are seeking.

How to List Series 66 on Resume

Best Practices for Including Series 66 on Your Resume:

• Highlight the Relevance: Mention that you have passed the Series 66 exam, which is a designation granted by FINRA (Financial Industry Regulatory Authority) for investment advisors and supervisory personnel. Emphasize the skills and knowledge gained from this exam such as understanding of ethical practices, client-focused relationship and suitability issues, commodity futures, mutual funds, variable contracts, and other types of securities products.

Example: Demonstrated proficiency in investment advisory functions by passing the Series 66 exam. Gained expertise in areas such as understanding ethical practices, client-focused relationship management, and suitability issues related to various securities products.

• Quantify Your Achievements: If possible, provide specific examples of how your Series 66 certification has contributed to your professional success. For instance, if you have increased sales or helped clients make informed investment decisions as a result of this exam.

Example: Successfully passed the Series 66 exam, which enabled me to assist clients in making informed investment decisions, leading to an increase in client assets under management by 25%.

• Contextualize Your Experience: Include the exam within your professional experience section, specifically if it pertains to a job or role where it was required. Provide the date of passing and any relevant renewal information.

Example: Held the Series 66 investment advisor representative designation from [Year] to present. Passed the exam while working as an Associate Financial Advisor at XYZ Financial Services, LLC. Renewed certification annually in compliance with FINRA requirements.

• Keyword Optimization: Use relevant keywords such as "Series 66," "FINRA Exams," and "Investment Advisory" throughout your resume to improve the chances of being recognized by Applicant Tracking Systems (ATS) during the initial screening process.

• Customize for Each Application: Tailor your resume to the specific job you are applying for, emphasizing how your Series 66 designation and its associated skills make you an ideal fit for the position.

Example 1: Series 66 on Finra Exams Resume

• Passed Series 66 exam in [Year] while working as a Financial Advisor at XYZ Wealth Management, demonstrating expertise in investment advisory functions.
• Utilized knowledge gained from Series 66 to provide comprehensive and suitable investment advice to clients, leading to increased client assets under management by [Percentage or dollar amount].
• Renewed Series 66 certification annually since obtaining it, ensuring compliance with FINRA requirements.

Example 2: Series 66 in Finra Exams Context

• Earned the Series 66 investment advisor representative designation in [Year] while working as a Senior Financial Planner at ABC Asset Management.
• Applied knowledge from Series 66 exam to assist clients in making informed and suitable investments, resulting in improved client satisfaction ratings.
• Maintained Series 66 certification by renewing annually and adhering to FINRA guidelines for continuing education.

How to List Series 65 on Resume

Best Practices for Listing Series 65

• Mention the Certification Name and Number: Start by stating the certification name (Series 65) and number clearly to avoid any confusion. For example: Series 65 - Investment Advisor Law - License Number: XXXXX-XXXX.

  Explanation: This is a quick way for recruiters or hiring managers to identify the specific certification you have obtained. Including the license number can also help verify your claims.

• Highlight Relevant Skills and Knowledge: After mentioning the certification, briefly describe the key skills and knowledge acquired during the process. For example: Demonstrated understanding of compliance, supervision, and investment advisory matters, as well as regulatory and legal frameworks related to the Investment Company Act of 1940.

  Explanation: This helps recruiters understand the depth of your knowledge and how you can contribute to their organization.

• Specify Exam Dates: Include the dates when you appeared for the exams, especially if there's a significant gap between them. For example: Passed Series 65 exam on MM/YYYY with a score of XX%.

  Explanation: This provides transparency and helps recruiters understand your recent activity related to this certification.

• Describe How It Adds Value: Explain how the Series 65 certification will add value to the prospective employer, such as: Equipped to advise on complex investment products, develop compliance programs, and provide oversight to ensure adherence to regulatory requirements.

  Explanation: This shows that you've thoughtfully considered how your skills can be utilized in the job you are applying for.

• Contextualize within Your Professional Background: Connect the Series 65 certification with other relevant experiences and accomplishments in your resume. For example: Successfully passed Series 65 exam, demonstrating expertise in investment advisory law and compliance. As a result, I was able to help clients navigate complex financial products while adhering to regulatory requirements at XYZ Company.

  Explanation: This helps recruiters understand the practical application of your certification and reinforces your ability to contribute positively to their organization.

Example 1: Series 65 on Finra Exams Resume

Certifications: - Series 65 - Investment Advisor Law - License Number: XXXXX-XXXX - Passed on MM/YYYY with a score of XX% - Demonstrated understanding of compliance, supervision, and investment advisory matters - Equipped to advise on complex investment products and develop compliance programs - Successfully applied this knowledge at XYZ Company, where I helped clients navigate complex financial products while adhering to regulatory requirements

Example 2: Series 65 in Finra Exams Context

Work Experience: Investment Advisor | XYZ Wealth Management | City, State | MM/YYYY - Present - Passed Series 65 exam on MM/YYYY with a score of XX% - Develop and maintain compliance programs for investment advisory activities - Provide oversight to ensure adherence to regulatory requirements - Advise clients on complex financial products, including private equity and hedge funds - Ensure all client communications comply with regulatory frameworks related to the Investment Company Act of 1940.

How to List Series 63 on Resume

Listing the Series 63 subcategory on a resume requires careful consideration to effectively highlight your skills in securities industry compliance. Here are some best practices to help you do just that:

• Highlight Relevant Experience: Mention the Series 63 license and any other FINRA exams you've passed, emphasizing their relevance to the job you're applying for. For example:

• "Passed the Series 63 exam, demonstrating proficiency in municipal securities."

• Specify License Expiration: If applicable, include the expiration date of your license to show that it is currently active and valid.

• "Series 63 license (expires in YYYY/MM) indicating expertise in municipal fund securities."

• Detail Regulatory Knowledge: Explain how your understanding of compliance and regulations, as demonstrated by passing the Series 63 exam, benefits your potential employer.

• "Proven knowledge of regulatory requirements for the sale of municipal securities gained through Series 63 examination."

• Mention Continuing Education: If you've completed any continuing education courses to maintain or renew your license, include this information as well.

• "Actively maintaining Series 63 compliance through ongoing professional development and continuing education courses."

Example 1: Series 63 on Finra Exams Resume

Here's an example of how you can integrate the Series 63 subcategory into your resume:

• Compliance Officer with extensive experience in municipal securities
  • Passed Series 63 and other FINRA exams, including Series 52 and Series 79
  • Held active Series 63 license since YYYY/MM (expiration year/month)
• Actively maintaining Series 63 compliance through ongoing professional development and continuing education courses

Example 2: Series 63 in Finra Exams Context

And here's a second example to illustrate the contextual use of the Series 63 subcategory within a resume:

• Compliance Specialist with expertise in the securities industry
  • Demonstrated knowledge of regulatory requirements for municipal fund sales through successful completion of the Series 63 exam
• Proven ability to apply this expertise in a variety of compliance roles, including (insert specific job titles or experiences)
• Maintaining active Series 63 license since YYYY/MM (expiration year/month) and staying up-to-date through continuing education courses.

How to List Series 7 on Resume

When listing the 'Series 7' subcategory on your resume, it is crucial to highlight your achievements in a clear and concise manner. Here are some best practices:

* Emphasize Relevance

Begin by stating why you have taken the Series 7 exam. Mentioning the relevance of this qualification to the job you're applying for demonstrates that you possess the necessary skills for the role. For instance, "Obtained Series 7 license to trade securities in financial institutions."

* Mention Exam Details

Include details about the exam such as the date taken and passing score if it is relevant or requested by the employer. This information can help employers verify your qualification quickly: "Passed FINRA Series 7 examination with a score of 85% on [Exam Date]."

* Highlight Key Skills

List any key skills or knowledge acquired during the preparation for and while holding the Series 7 license. This could include understanding various financial products, customer relationship management, regulatory compliance, etc.: "Demonstrated expertise in trading equity, options, and other securities through the Series 7 qualification."

* Mention Registration Information

If applicable, provide details about your registration with a Financial Industry Regulatory Authority (FINRA) member firm. This helps validate your Series 7 license: "Registered as a General Securities Representative (Series 7) with [Firm Name]."

* Emphasize Career Progression

If you have held the Series 7 license for several years, briefly discuss how it has contributed to your career progression. This shows employers that you are an experienced professional in the field: "Maintained and expanded my Series 7 license over [Number of Years], allowing me to advance from Junior Broker to Senior Trader within my firm."

Example 1: Series 7 on Finra Exams Resume

• Obtained Series 7 license to trade securities in financial institutions.
• Passed FINRA Series 7 examination with a score of 85% on [Exam Date].
• Demonstrated expertise in trading equity, options, and other securities through the Series 7 qualification.
• Registered as a General Securities Representative (Series 7) with XYZ Brokerage.
• Maintained and expanded my Series 7 license over 5 years, contributing to my career progression from Junior Broker to Senior Trader.

Example 2: Series 7 in Finra Exams Context

In this example, the job applicant is looking to switch industries but wants to emphasize their Series 7 qualification's relevance to a new role in project management.

• Obtained Series 7 license to trade securities in financial institutions and gained valuable experience in regulatory compliance, customer relationship management, and financial product knowledge.
• Passed FINRA Series 7 examination with a score of 85% on [Exam Date].
• Transitioning from a Financial Services role to Project Management, leveraging my Series 7 qualification's transferable skills in managing complex projects and ensuring regulatory compliance.
• Registered as a General Securities Representative (Series 7) with XYZ Brokerage for [Number of Years].
• Demonstrated ability to quickly learn new skills, adapt to changing environments, and contribute to team success through my Series 7 qualification.