Can you take the Series 7 exam and become a stockbroker or financial advisor with a degree in history?

Answer 1

I worked on the NYSE floor and with institutional sales traders and hedge funds for 25 plus years. The diversity in their backgrounds was all over the map on the floor and upstairs.. From the level of education to what degrees they had was what made things so interesting. One of the great books i ever read "How to make money in stocks" by William O Neil talked as much about history of the stock market as any other subject.

As said earlier in the thread the SIE does not need a sponsor but the Series 7 does . So if you are serious about the industry it shows some intiative to employers if you take the SIE on your own Its the Series 7 light .basically and will give you a nice baseline of understanding.

Answer 2

Yes someone with a history degree and other degrees can be extremely successful in the securities industry. Please note that the old Series 7 has now been split into two different exams, which are now the SIE (Securities Industry Essentials) exam plus the new Series 7 Top-Off exam. The SIE does not need a sponsor yet the Series 7 Top-Off exam does. Here are details about the new SIE exam.

1. The SIE exam is open to anyone aged 18 or older that's interested in demonstrating basic industry knowledge to potential employers.
2. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
3. SIE exam results are valid for four years.

Hope this helps.

Best,

Kevin

Answer 3

You can take the Series 7 or any exam in this field with any educational background. There are no educational prerequisites.