Is the Series 7 exam for the US only brokers or does everyone have to pass it?

Answer 1

Hello Gerald,

For the most part all employees are required to pass the SIE, Security Industry Essentials exam. Depending on one's position with the firm and their career path, one or more of the "specialized Knowledge Exams", may be required. If your goal is to be a broker you would be required to pass the SIE, Series 7 top off and the series #63.

Regards

John