Series 55 exam

Discussion in 'Hook Up' started by phill86518, Jul 28, 2003.

  1. Hi folks...

    I am an engineer-turned-trader, starting an MBA program at Columbia. I want to write my Series 55 exam and I am wondering if anyone of you might be able to guide me about who can sponsor me for the exam.

    Your guidance is much appreciated. I am moving to NYC in a week, and can't wait for the excitement to begin!

  2. You want to write a 55?
  3. I would like to write a NASD Series 55 exam... yes. I am wondering if you can help me or direct me to the appropriate personnel :)

  4. Roger-

    good luck in your MBA program.
    here is a link with info on the examinations:

    You may be putting the cart b4 the horse here. Maybe concentrating on your school work, then searching for a firm , then taking the series 7 , 55 etc, is the better course of action.

    Either way, best of luck.

  5. Thanks for the link uptik... I appreciate it.

    The MBA program has little to do with equities trading. I have been an active trader for the last 5 years, and would like to formalize that knowledge on a piece of paper.

    The Series 55 exam requires some sort of a sponsorship from a firm. I am wondering if anyone here can direct me to the appropriate channels for that.

    Thanks again,
  6. Roger-

    From my experience (I have the series 7,63,31,65) you need to be sponsored by a exchange member firm. You may need to have the 7 (or 6) to be able to sit for the 55.
    Not sure if any firm would go through the paperwork etc to sponsor you unless they thought you were going to work for them or trade with them. Emphasis on the word "thought".

    Happy Trading.
  7. You need a 7 before you can sit for the 55. The 7 allows you to "deal" in securities. Whether that is selling to the public or trading directly from the specialist`s book.