Learn how to effectively list finra exams on your resume with real-world examples. Includes top finra exams skills, sample resume phrases, and detailed tips for making your resume stand out.
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.
Your finra exams should be listed in the following sections of your resume:
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.
- Wealth Management Associate, ABC Bank (2018-Present)
- Certified Financial Planner (CFP)
- FINRA Licenses:
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:
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.
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.
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.
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%.
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.
- 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.
- 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.
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.
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
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.
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."
Here's an example of how you can integrate the Series 63 subcategory into your resume:
And here's a second example to illustrate the contextual use of the Series 63 subcategory within a 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:
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."
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]."
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."
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]."
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."
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.
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