Series 24

Now that you have completed your Series 7 exam and are equipped with successful study techniques, consider taking one of our principal training courses while you are still in “study mode.”

If career advancement is your goal, you must be your own advocate.  Don’t let fear of failure stop you.  We’ve all heard how many times Babe Ruth struck out, yet he went on to become the home-run king.  Being fearless gets you recognized

Studying for a principal’s exam will give you a broader view of the industry and a management perspective on your ideas and actions.  You will speak with more confidence, and ask the right questions.  Many career advancement experts believe that networking and “who you know” are critical to upward mobility in the business world.  With a principal’s perspective, suddenly your conversations with top management will have an impact that will be remembered when it comes time to fill an important job opening.

FIRE Solutions offers two management tracks — the combination Series 9 and 10 for branch office managers and the Series 24 for compliance professionals.

The Series 9 exam — the General Securities Sales Supervisor Qualification Examination — evaluates a registered representative’s proficiency and knowledge of securities industry rules and particular statutory provisions applicable to supervising sales activities of options at a general securities-oriented branch office.  The exam is for professionals whose main job function is of a sales supervisor. 

The Series 10 exam — the General Securities Sales Supervisor Qualification Examination — evaluates a registered representative’s proficiency and knowledge of securities industry rules and particular statutory provisions applicable to supervising sales activities at a general securities-oriented branch office.  The exam is for professionals whose five main job functions of a sales supervisor are:

1. Hiring, qualifications for new hires, and continuing education
2. Supervision of accounts and sales activities
3. Conduct of associated persons
4. Record-keeping requirements
5. Municipal securities regulation

The Series 24 exam — the General Securities Principal Qualification Examination (GP) — evaluates an entry-level general securities principal applicant’s proficiency to perform duties as a general securities principal.  The exam ascertains the extent and depth of each applicant’s knowledge to perform essential functions as a general securities principal.  This includes rules and statutory provisions applicable to the supervisory management of a general securities broker/dealer.  The five main job functions of a GP are:

1. Registration and management of broker/dealers
2. General broker/dealer activities
3. Retail and institutional customer-related activities
4. Trading and market making activities
5. Investment banking and research

Get out of your comfort zone, become visible within your organization, and keep your eyes on the prize … the dream job you’ve always wanted!

An updated version of the Series 24 Exam Prep Course will be available this fall. 

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