FINRA Series 7 Representative Level Qualification Exam Prep Training Course & Study Materials
Prepare for your FINRA Series 7 Representative Level Qualification Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
FINRA Series 7 Representative Level Qualification Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
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ONLINE COURSE PACKAGE
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TEXTBOOK PACKAGE
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Hard-Copy Textbook
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Personalized Study Plan
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Best Practice Guide
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Competency Exams
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Practice Question Sets
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Benchmark Final
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Standard Final Exams
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Custom Exam Generator
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Phone Instructor Support
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Glossary and Acronyms
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TC Critical Facts
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Real-Time Content Updates
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Report Center
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On-Demand Video Lectures
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Checkpoint Exams
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eBook
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SpotCheck Quizzes
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Online Instructor Support
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Online Flashcards
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Live Focused Webinars
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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Equity, Bonds, & Options
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S7: Suitability
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
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Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
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Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
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125
Multiple-Choice Questions
3h 45m
Time to Complete
72%
Passing Score Required
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$300
Exam Cost
What is the Series 7 Rep Level Exam?
The Series 7 exam is designed to assess the competency of entry-level General Securities Representatives and is administered by the Financial Industry Regulatory Authority (FINRA). The Series 7 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a General Securities Registered Representative. In order to obtain registration as a General Securities Representative, candidates must pass both the Series 7 exam and a general knowledge co-requisite, the Securities Industry Essentials (SIE) exam. For more information about the activities requiring registration as a General Securities Representative, see FINRA Rule 1220(b)(2).
The Series 7 Rep Level exam is 125 questions and broken down into four parts (by job function). These topics include:- Seeks Business for the Broker-Dealer from Customers and Potential Customers
- Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
- Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
- Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
Function 1: Seeks Business for the Broker-Dealer through Customers and Potential Customers
- Prospecting and Marketing
- Identifies and contacts potential clients
- Uses approved advertising and sales materials
- Complies with rules for cold calling and digital outreach
- Client Communication
- Explains services and products offered by the firm
- Follows regulations for public communications and social media
- Regulatory Awareness
- Understands FINRA, SEC, and firm-specific rules
- Maintains records of promotional activities
Function 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
- Customer Information Collection
- Gathers financial status, investment goals, risk tolerance, and tax considerations
- Documents investment objectives and time horizons
- Account Setup
- Opens various account types: individual, joint, retirement, custodial, margin
- Completes required disclosures and agreements
- Suitability and Compliance
- Evaluates product suitability
- Complies with KYC, AML, and other regulatory requirements
Function 3: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records
- Product Knowledge
- Explains features, risks, and benefits of stocks, bonds, mutual funds, options, ETFs, REITs, and more
- Discusses fees, expenses, and tax implications
- Investment Recommendations
- Matches products to client profiles and goals
- Discloses conflicts of interest and compensation structures
- Asset Movement and Recordkeeping
- Facilitates transfers, rollovers, and exchanges
- Maintains documentation of recommendations and communications
- Complies with supervisory review and record retention policies
Function 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
- Order Handling
- Receives and verifies customer instructions
- Understands order types: market, limit, stop, stop-limit
- Trade Execution
- Processes transactions in accordance with firm and regulatory procedures
- Provides trade confirmations and required disclosures
- Compliance and Supervision
- Adheres to suitability, supervisory, and documentation requirements
- Understands prohibited practices such as unauthorized trading and manipulation
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