Industry Exams I Have Passed
Over the course of my career, I have successfully passed several securities industry exams, demonstrating my expertise and commitment to the financial sector. In some cases, brokers may qualify for registration through exam waivers based on their past exams and professional experience; however, any waivers I may have received are not included here.
Please note that passing an exam or receiving a waiver does not automatically permit me to conduct business—I must maintain an active SRO or state registration.
I have passed 3 general industry/product exams and 2 state securities law exams.
| Exam Category | Date |
|---|---|
| Securities Industry Essentials Examination (SIE) | 10/01/2018 |
| General Securities Representative Examination (Series 7) | 08/07/2017 |
| Investment Company Products/Variable Contracts Representative Examination (Series 6) | 10/12/2007 |
| Exam Category | Date |
|---|---|
| Uniform Combined State Law Examination (Series 66) | 11/02/2017 |
| Uniform Securities Agent State Law Examination (Series 63) | 10/24/2007 |