Finra Licenses on Resume

Should You List Finra Licenses on Resume

In the United States, particularly within the financial services industry, listing your Finra licenses on your resume can significantly enhance your credibility and employability. These licenses demonstrate your competency, integrity, and adherence to regulatory guidelines in the industry. However, it's essential to note that the relevance of these licenses may vary depending on the specific role you are applying for or the region outside the US.

Why to List Finra Licenses on Resume

• Demonstrates Regulatory Compliance: Finra licenses signify your ability to comply with regulatory requirements, which is crucial in financial roles that handle sensitive client information and transactions.
• Enhances Credibility: A Finra license is a testament to your knowledge and understanding of the industry's regulations, making you more trustworthy to potential employers.
• Increases Marketability: In highly regulated industries like finance, having a Finra license can set you apart from other candidates, increasing your marketability in the job market.
• Meets Employer Expectations: Many financial institutions require their employees to hold specific Finra licenses depending on the roles they perform. Listing these licenses on your resume shows that you are prepared and meet their expectations.

Where to List Finra Licenses on Resume

Ideally, list your Finra licenses in the Professional Licenses & Certifications section or the Work Experience section (if the license is associated with a specific role). For example:

Professional Licenses & Certifications

• Series 7 - General Securities Representative Examination
• Series 63 - Uniform Securities Agent State Law Examination
• Series 65 - Investment Adviser Law Examination

Alternatively, if you are a recent graduate or lack work experience in the financial industry, you may consider listing your Finra licenses under the Education section.

Examples of How to List Finra Licenses on Resume

Example 1: Listing Finra Licenses in Work Experience

Work Experience

• Investment Banking Analyst | ABC Capital Group | New York, NY (2018 - Present)
• Held Series 7 and Series 63 licenses to facilitate securities transactions

Example 2: Listing Finra Licenses in Professional Licenses & Certifications

Professional Licenses & Certifications

• Series 7 - General Securities Representative Examination (Obtained in 2018)
• Series 63 - Uniform Securities Agent State Law Examination (Obtained in 2019)

Example 3: Listing Finra Licenses in Education (for Recent Graduates or Those Without Work Experience)

Education

• Bachelor of Science in Finance | XYZ University | Austin, TX (2014 - 2018)
• Held Series 7 and Series 63 licenses obtained through the CFA Institute Investment Foundations Program

What to Avoid While Listing Finra Licenses on Resume

• Incorrect or Outdated Information: Ensure that all Finra license information, including the exam names and numbers, is accurate and up-to-date. Include the year you obtained each license if applicable.
• Listing Unnecessary Licenses: Only list Finra licenses relevant to the job you are applying for. Including irrelevant licenses may confuse potential employers or suggest a lack of focus in your career goals.
• Omitting Essential Details: Always include the exam name, number, and year obtained when listing each license. This information is essential for verification purposes.
• Misrepresenting Licenses: Never misrepresent the scope of your Finra licenses or claim to have licenses you do not possess. Misrepresentation can lead to severe consequences, including legal action.

How to List Private Securities Offerings Representative (series 79) on Resume

Best Practices for Listing 'Private Securities Offerings Representative (Series 79)'

• Highlight Your Professional Title: Clearly state your professional title, "Private Securities Offerings Representative (Series 79)", at the beginning of your resume's work experience section. This helps recruiters quickly understand your role and expertise.

  • Job Title: Private Securities Offerings Representative (Series 79) Company Name: XYZ Financial Services, Inc. Employment Dates: January 2018 - Present

• Mention Finra Licenses: Since the Series 79 license is issued by FINRA, it's essential to include any relevant licenses you hold. List your Series 79 license, along with any other FINRA licenses you may have, such as the Series 63 or Series 65.

  • Licenses: FINRA Series 79, Series 63, and Series 65

• Detail Your Responsibilities: Describe your primary responsibilities related to the Series 79 role. This might include underwriting new securities issues, supervising research analysts, or facilitating sales of private securities offerings.

  • Responsibilities:

• Oversaw the underwriting process for new securities issues, ensuring compliance with regulations and adherence to company policies.

• Supervised a team of research analysts, providing guidance on market trends and industry analysis.

• Collaborated with sales teams to facilitate the sale of private securities offerings, ensuring appropriate disclosure and compliance.

• Showcase Achievements: Quantify your achievements, if possible, to demonstrate the impact you've made in your role. This could include the value of securities issued, the size of the team managed, or the growth of assets under management.

  • Achievements:

• Successfully led the underwriting process for over $1 billion in new securities issues during 2020.

• Managed a team of 6 research analysts, contributing to the accurate and timely production of market reports and industry analyses.

• Contextualize Your Role: Explain how your role contributes to the overall success of the organization. This helps recruiters understand the value you bring to the table.

  • Role Context: As a Private Securities Offerings Representative (Series 79), my role is instrumental in facilitating the issuance and sale of private securities, ensuring compliance with regulations, and providing guidance to research analysts. This contributes significantly to the growth and success of XYZ Financial Services, Inc.

Example 1: Private Securities Offerings Representative (series 79) on Finra Licenses Resume

• Job Title: Private Securities Offerings Representative (Series 79) Company Name: ABC Wealth Management, LLC Employment Dates: July 2016 - Present

• Licenses: FINRA Series 79, Series 63, and Series 65

• Responsibilities:

  • Oversaw the underwriting process for new securities issues, ensuring compliance with regulations and adherence to company policies.
  • Supervised a team of research analysts, providing guidance on market trends and industry analysis.
  • Collaborated with sales teams to facilitate the sale of private securities offerings, ensuring appropriate disclosure and compliance.

• Achievements:

  • Successfully led the underwriting process for over $500 million in new securities issues during 2019.
  • Managed a team of 4 research analysts, contributing to the accurate and timely production of market reports and industry analyses.

• Role Context: As a Private Securities Offerings Representative (Series 79), my role is vital in facilitating the issuance and sale of private securities, ensuring compliance with regulations, and providing guidance to research analysts. This contributes significantly to the growth and success of ABC Wealth Management, LLC.

Example 2: Private Securities Offerings Representative (series 79) in Finra Licenses Context

• Job Title: Associate Director - Private Securities Offerings (Series 79) Company Name: DEF Capital Management, Inc. Employment Dates: February 2014 - December 2019

• Licenses: FINRA Series 79, Series 63, and Series 65

• Responsibilities:

  • Led the underwriting process for new securities issues, working closely with legal and compliance teams to ensure regulatory compliance.
  • Managed a team of 10 research analysts, providing guidance on market trends, industry analysis, and investment strategies.
  • Collaborated with sales teams and portfolio managers to develop and execute strategic investment plans for private securities offerings.

• Achievements:

  • Successfully led the underwriting process for over $2 billion in new securities issues during 2018.
  • Developed and implemented a new research methodology that improved the accuracy of market predictions by 30%.

• Role Context: As an Associate Director - Private Securities Offerings (Series 79), my role encompasses leading the underwriting process for new securities issues, managing a team of research analysts, and collaborating with sales teams to develop strategic investment plans. This contributes significantly to the growth and success of DEF Capital Management, Inc. by ensuring compliance, optimizing investment strategies, and facilitating the issuance and sale of private securities offerings.

How to List Investment Advisor Representative (series 65) on Resume

• Highlight the Series 65 designation: This is your primary achievement in this area. Mention it prominently, usually under a professional summary or qualifications section at the top of your resume. Here's an example:

  • Investment Advisor Representative (Series 65) registered with FINRA

• Specify the FINRA licenses held: Include any additional licenses you hold that are relevant to this role, such as Series 7 or 63. This helps demonstrate your broader competence in the financial industry.

  • Held series 7 and 63 licenses in addition to Series 65

• Detail work experience: Describe any roles where you have acted as an Investment Advisor Representative, outlining key responsibilities, achievements, and the impact of your work on clients or the firm.

  • Assisted high-net-worth individuals in managing their investment portfolios, resulting in a 20% increase in average portfolio returns over two years

• Emphasize regulatory knowledge: Highlight any experience dealing with regulatory compliance, as this is an essential aspect of the role.

  • Conducted regular review and analysis of investment strategies to ensure adherence to regulatory standards

• Demonstrate soft skills: Showcase interpersonal skills such as communication, problem-solving, and ethical behavior, which are crucial for building trust with clients.

  • Developed strong rapport with clients through clear, concise, and empathetic communication about investment strategies and market trends

Example 1: Investment Advisor Representative (series 65) on Finra Licenses Resume

In a professional summary section:

• Experienced Investment Advisor Representative with Series 65, 7, and 63 registrations through FINRA. Proven track record in managing high-net-worth client portfolios while adhering to regulatory standards. Strong communication skills foster trust and build lasting relationships with clients.

Example 2: Investment Advisor Representative (series 65) in Finra Licenses Context

Under the work experience section, detail a role as an Investment Advisor Representative focusing on a niche market:

• Worked as a Private Wealth Manager at XYZ Financial Services, where I was responsible for managing investment portfolios for high-net-worth clients in the tech industry. Obtained Series 65, 7, and 63 licenses to ensure a comprehensive understanding of financial markets and regulatory requirements. Achieved a 20% increase in average portfolio returns over two years by implementing tailored investment strategies and maintaining strong communication with clients.

How to List Options Representative (series 8) on Resume

Listing the subcategory 'Options Representative (Series 8)' on a resume requires a strategic approach that highlights your skills, experiences, and relevant Finra licenses. Here are some best practices:

1. Highlight Relevant Experience

Start by providing a brief description of your role as an Options Representative (Series 8), emphasizing key responsibilities such as executing options transactions, managing risk, and ensuring compliance with regulatory requirements.

• Role: Options Representative (Series 8) at XYZ Brokerage Inc.
  • Executed complex options trading strategies for high net worth clients
  • Managed risk associated with options transactions and implemented hedging strategies
  • Ensured compliance with relevant Finra regulations

2. Mention Finra Licenses

It is essential to list any Finra licenses you hold, as they demonstrate your qualifications for the role. Be sure to include the license number for verification purposes.

• Finra Licenses: Series 8, 31, 4, and 63
  • Held Series 8 General Securities Principal License (License Number: 1234567)
  • Held Series 31 Market Making and Trading Designations (License Number: 890123)

3. Showcase Achievements

If possible, quantify your accomplishments to demonstrate the impact of your work. This could include the value of options trades managed, number of clients served, or any awards or recognition you have received.

• Achieved a 20% increase in client satisfaction ratings over two consecutive years
• Managed a $50 million portfolio of options trades with an average return of 12% annually

4. Tailor to the Job Description

Customize your resume to match the job description, highlighting skills and experiences that align with the requirements of the position you are applying for.

Example 1: Options Representative (series 8) on Finra licenses Resume

Experience

• Options Representative (Series 8) at XYZ Brokerage Inc.
  • Executed complex options trading strategies for high net worth clients
  • Managed risk associated with options transactions and implemented hedging strategies
  • Ensured compliance with relevant Finra regulations (Series 8, 31, 4, and 63)
  • Achieved a 20% increase in client satisfaction ratings over two consecutive years
  • Managed a $50 million portfolio of options trades with an average return of 12% annually

Example 2: Options Representative (series 8) in Finra licenses Context

Professional Summary

Highly skilled and experienced Options Representative (Series 8) with a strong background in managing complex options trading portfolios. Holds multiple Finra licenses, including Series 8, 31, 4, and 63. Proven track record of achieving high client satisfaction ratings and delivering consistent returns on managed portfolios.

Experience

• Options Representative (Series 8) at ABC Securities
  • Executed complex options trading strategies for high net worth clients
  • Managed risk associated with options transactions and implemented hedging strategies
  • Ensured compliance with relevant Finra regulations (Series 8, 31, 4, and 63)

By following these best practices, you can effectively present your qualifications as an Options Representative (Series 8) on a resume that emphasizes your expertise in the field and your Finra licenses.

How to List Investment Company and Variable Contracts Representative (series 6) on Resume

• Highlight your Series 6 license: Start the section with a clear statement about holding the Series 6 license, emphasizing its relevance to investment company and variable contracts representation. Mention any updates or renewals to demonstrate your commitment to maintaining the license.

  • Mention Series 6 License: "Holds active Series 6 license issued by Financial Industry Regulatory Authority (FINRA)."

• Detail your experience: Discuss your professional background, including the number of years spent in the role and the specific tasks you performed as an investment company representative and variable contracts representative. Emphasize any achievements or key responsibilities that demonstrate your expertise.

  • Professional Experience: "Accumulated 5+ years of experience working as an Investment Company and Variable Contracts Representative, utilizing knowledge of mutual funds, variable annuities, and related securities."

• List relevant skills: Include a section showcasing your technical abilities, such as proficiency in financial modeling tools, understanding of investment strategies, and knowledge of regulatory compliance. Mention any certifications or additional licenses you hold that complement your Series 6 license.

  • Relevant Skills: "Proficient in Microsoft Excel and Financial Planning Software; Demonstrated expertise in mutual fund analysis, portfolio management, and regulatory compliance."

• Detail your FINRA licenses: Dedicate a section to providing specifics about your FINRA licenses beyond the Series 6 license, such as Series 7, 63, or 24. Explain the purpose of each license and how it enhances your ability to serve clients in an investment capacity.

  • FINRA Licenses: "Held additional FINRA licenses, including Series 7 (General Securities Representative), Series 63 (Blue Sky Laws), and Series 24 (Principal)."

• Include relevant achievements: Mention any professional accolades, awards, or notable accomplishments that demonstrate your success as an investment company and variable contracts representative. Highlight how these achievements have contributed to your career growth and client satisfaction.

  • Achievements: "Received the prestigious 'Top Producer' award for two consecutive years, demonstrating exceptional service and commitment to clients."

Example 1: Investment Company and Variable Contracts Representative (series 6) on Finra Licenses Resume

Professional Experience

• Investment Company and Variable Contracts Representative, XYZ Wealth Management, January 2015 - Present
  • Manage portfolios for high net worth individuals, incorporating mutual funds, variable annuities, and other securities
  • Utilize financial planning software to create custom investment strategies
  • Maintain up-to-date knowledge of regulatory compliance through FINRA requirements

Example 2: Investment Company and Variable Contracts Representative (series 6) in Finra Licenses Context

Relevant Skills

• Proficient in Microsoft Excel, financial planning software, and mutual fund analysis tools
• In-depth understanding of investment strategies, portfolio management, and regulatory compliance
• Held active Series 6, 7, 63, and 24 licenses issued by FINRA

How to List General Securities Representative (series 7) on Resume

Best Practices for Listing the Subcategory

• Highlight Relevance: Mention your Series 7 license under a section titled 'Licenses & Certifications' or 'Professional Qualifications'. Make sure to emphasize its relevance to the job you are applying for.

  Example: _Holding a Series 7 General Securities Representative license, demonstrating expertise in investment banking and trading activities.*

• Include Regulatory Body: Specify that your Series 7 is issued by FINRA (Financial Industry Regulatory Authority), to provide context about the licensing authority.

  Example: _Series 7 General Securities Representative license, issued by FINRA.*

• Detail Duration of License: Briefly mention the year you obtained your Series 7 license and whether it is still active or due for renewal.

  Example: _Obtained Series 7 General Securities Representative license in 2018, currently active.*

• Detail Additional Knowledge: If you have any additional knowledge related to the Series 7, such as understanding of products like options, variable contracts, or limited partnerships, make sure to include this for a more detailed understanding of your qualifications.

  Example: _Extensive knowledge of options trading and variable contracts in conjunction with my Series 7 license.*

• Highlight Key Skills: If there are specific skills related to the Series 7 that you have utilized, such as customer service, risk management, or compliance, make sure to list these under a 'Key Skills' section to showcase your abilities.

  Example: _Strong background in customer service and risk management gained through experience as a General Securities Representative.*

Example 1: General Securities Representative (series 7) on Finra Licenses Resume

_Licenses & Certifications

• Series 7 General Securities Representative license, issued by FINRA. Obtained in 2018, currently active.
• Extensive knowledge of options trading and variable contracts in conjunction with my Series 7 license.

Professional Summary

• Experienced financial services professional with a focus on securities trading and investment banking.
• Strong background in customer service and risk management gained through experience as a General Securities Representative._

Example 2: General Securities Representative (series 7) in Finra Licenses Context

_Skills

• Customer Service
• Risk Management
• Compliance
• Understanding of investment products, including options and variable contracts.

Work Experience

• Securities Trader at XYZ Brokerage Firm, 2018 – Present
  • Utilize Series 7 General Securities Representative license to execute trades for clients in various securities markets.
  • Provide exceptional customer service and risk management to ensure client satisfaction and minimize potential risks._