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If you're looking into Series 7 prep courses to help you work toward your professional goals, Varsity Tutors can set you up with private Series 7 classes that may be just what you are searching for. We are the experts when it comes to referring students to the quality Series 7 prep courses they need to pursue their professional goals.

Series 7, or the General Securities Representative Qualification Examination, is the standardized exam taken by financial professionals to prove that they have the requisite skills to work as an entry-level general securities representative. Passing the test and earning its associated license allows you to legally buy and sell corporate securities, investment company securities, municipal securities, variable annuities, options, direct participation programs, and government securities. If you're finding your test prep to be overwhelming, let the experts help you out by enrolling in a Series 7 class today!

How Can A Series 7 Prep Class Near Me Help Increase My Self-Confidence?

Most Series 7 prep classes begin by giving test-takers an idea of what to expect on exam day. The chart below highlights the most important things you need to know:

Series 7 Exam Format

Question Format

# Questions

Time Allowed

Passing Score




225 Minutes


SIE Exam

There are two prerequisites to taking the Series 7 exam. First, you must be sponsored by a FINRA (or Financial Industry Regulatory Authority) member firm or an approved self-regulatory organization (SRO). Second, you need to pass the SIE (Securities Industry Essentials Exam). The SIE Exam was created to ensure that individuals interested in earning multiple FINRA licenses do not need to answer basic securities questions on every exam. You can take the SIE Exam without a sponsor firm, so preparing for it might be one of the first things you do in Series 7 classes.

When you are ready to move on to the Series 7 itself, it is important to make sure that all of your test prep materials are up to date. FINRA updates the Series 7 content outline frequently, and studying for an older version of the exam doesn't really accomplish anything. Of course, working with the knowledgeable tutor we refer to you is a great way to ensure that everything you are doing is current.

It is also important that your test prep emphasizes concepts over rote memorization. You cannot memorize the answer the exam wants for every question, as the slightest change in wording can leave you without a backup plan on test day. If you understand the core concept, a slight wording alteration won't matter as much.

The Series 7 exam is divided into four sections based on the most important job functions general securities representatives are expected to perform: Seeking Business for the Broker-Dealer Through Customers and Potential Customers (Function 1 7%); Opening Accounts After Obtaining and Evaluating Customers' Financial Profile (Function 2 9%); Providing Customers With Information About Investments, Making Suitable Recommendations, Transferring Assets, and Maintaining Appropriate Records (Function 3 73%%); and Obtaining and Verifying Customers' Purchase and Sale Instructions, Processing, Completing, and Confirming Transactions (Function 4 11%).

What Are The Most Important Benefits Of Private Series 7 Courses Near Me?

Taking a private Series 7 course allows you to concentrate on each of these sections individually, breaking an intimidating exam into more digestible bits. For instance, Function 1 includes questions on how to contact prospective customers and establish a personal rapport with them, selling existing customers new products and services, developing effective advertising materials, and hosting educational seminars and lectures with the proper permissions. All of these skills involve interpersonal communications, so you may wish to roleplay with your instructor during a Series 7 class to develop valuable experience you can draw on during the exam.

The way this might work is simple: your private instructor takes on the role of a customer you are interested in representing. You introduce yourself and try to convince the "customer" why you are the perfect broker for their financial needs during your Series 7 course. When you are finished, your instructor can identify what you did well and any aspects of your sales pitch that could use additional refinement. Your instructor may then take on the role of a prospective customer with completely different needs and start the process all over again. This can give you practical experience working with a diverse array of client types.

Likewise, Function 2 includes some interpersonal components (such as politely determining what other assets new customers possess) and how to analyze investments that may be suitable for an individual investor. If you're not sure how to incorporate a client's risk tolerance and available capital into your selections, you may review this critical skill in a Series 7 course.

For example, let's say a prospective client is older and looking to put the finishing touches on their retirement plan. At this point in their life, they're probably not interested in any risky investments because they do not have the time to recover if it goes south. Therefore, you might stress the virtues of a conservative approach during your Series 7 prep course. Alternatively, you should not recommend a complicated portfolio to a client with little financial experience because they would have no idea what's going on with their money.

Function 3 deals primarily with communicating how and why a given investment or investment strategy suits an investor's needs. This is kind of a combination of the interpersonal skills emphasized by Function 1 and the investment analysis noted in Function 2, and a Series 7 prep course can help you combine the two skills.

For instance, your instructor might ask you to work out why you would select a particular investment product for a given customer out loud to simulate explaining your reasoning to somebody else. They may even challenge your choices, either to demonstrate why another option might be a better fit or simply to play devil's advocate and give you more confidence in your logic. This form of test prep isn't necessarily easy, but neither is the test!

Similarly, Function 3 also includes interpersonal skills (revealing any disclosures associated with a particular investment product) and how to transfer financial assets in accordance with all pertinent legal regulations. There are a lot of legal restrictions on what a financial professional can and cannot do, so you might use flashcards during Series 7 prep classes to help you remember them all.

Alternatively, it might be fun to play a game during your Series 7 course. Your instructor might give you a regulation, and you need to identify the law or laws from which it came. If you get it right, you move on to the next one. If you get it wrong, you need to review what you missed before you can continue playing. This may help make relatively dry material seem more engaging.

Finally, Function 4 emphasizes how to execute a trade and follow up on the customer's wishes. If you feel that you could benefit from a refresher on all of the paperwork associated with particular investment products, you can review it during a private Series 7 class.

You might also complete sample transactions during your Series 7 prep class to gain firsthand experience with it. Your instructor can provide examples from any topic you may wish to review, ensuring that you can make the most out of time spent studying.

Can A Series 7 Class Near Me Teach Test-Taking Strategies?

Coming in at just shy of four hours, the Series 7 exam tests your intellectual endurance as well as your financial knowledge. If you have a hard time maintaining your concentration for extended periods of time, you might want to take practice tests during your Series 7 course to get an idea of how long the test feels. Taking practice tests also gives you experience with the way FINRA exams work, as some questions are designed to intentionally confuse professionals who might value their real-world experience over academic knowledge.

The Series 7 exam is administered via computer at a testing lab, adding an element that you may not be familiar with. If you feel that you could benefit from a little experience with the test's electronic interface, completing practice exams during your Series 7 class may be a good idea. Furthermore, you may not bring reference materials to the testing center, so don't count on any last-minute study time before the test. The lab will provide a basic four-function calculator and dry erase board (scrap paper) you may use on the test, but both must be returned to the testing center immediately following your exam.

Many test-takers fall into the trap of trying to double-check every answer with the resources provided by the testing center. This can be a good idea if you have a little extra time at the end of the exam, but doing so as you go is likely to waste valuable time. Your instructor might show you when and how to use the tools available as efficiently as possible during a Series 7 prep class so that you have a chance to answer every question. You want to at least attempt every question, as there is no penalty for guessing on the test.

Once you're comfortable with the formatting of the exam, your Series 7 prep course may move on to specific concepts. The list below includes some of the topics you may want to go over before you take the test:

  • Describes investment products as solicitation
  • Reviewing customer investment profiles
  • Customer disclosures
  • Investment recommendations
  • Trade executions
  • Margin issues
  • Options Disclosure Document (ODD)
  • Political contribution regulations
  • Joint Tenants with Right of Survivorship
  • Hypothecation
  • Marginable securities
  • Rights of accumulation
  • Arbitrage
  • Overallotments

That's a lot of different topics, but a private Series 7 class allows you to go over them at your pace. We can set you up with a knowledgeable one-on-one tutor who can provide individualized attention. If you understand the fundamentals of executing trades but have a harder time with more specific areas such as marginable securities, your Series 7 courses can concentrate on marginable securities to help improve your study efficiency.

A one-on-one learning environment also ensures that any questions you have are addressed promptly. In fact, many students say that they found it easier to ask for help from a tutor they had an established personal rapport with than somebody who only worked with them in a larger classroom setting. Just one of the many benefits of working in a learning environment categorized by mutual trust and understanding!

A private instructor may also be able to cater your Series 7 course to your unique needs. For example, a visual learner might review political contribution regulations by looking at a chart listing all of the most important ones, while an auditory learner might get more out of oral repetitions of the same information. Either method is valid as a study strategy, but large Series 7 prep classes often adopt one approach over the other to the detriment of certain students.

Varsity Tutors also makes Series 7 prep courses as convenient as we can. All classes take place on our mobile-friendly Live Learning Platform, an online classroom with handy tools such as a virtual whiteboard to make you feel like you are in the same room as your instructor even if you are miles apart! We also try to refer every student to a tutor who meets their scheduling needs. After all, who wants to let Series 7 courses get in the way of living life?

The nationwide pass rate for the Series 7 exam tends to hover around 65% for first-time test-takers, so you have your work cut out for you. That said, it is possible if you are willing to put in the work. If you would like more information about how we can help you find "Series 7 classes near me," Educational Directors are standing by to answer any questions you may have. Contact Varsity Tutors today to start working toward academic success!

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