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Congratulations On Passing The Series 7 Exam, Casey Giordano!

Congratulations On Passing The Series 7 Exam, Casey Giordano!

| November 27, 2019
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Casey Giordano was an intern here at Condon Sullivan, while she was attending the Manning School of Business at UMass Lowell. Upon her college graduation in 2018, she joined our firm full-time. She’s been a great asset for our practice and clients have really enjoyed working with her.  

As our client relationship associate, Casey assists the entire team with the day-to-day equities operations at the firm, as well as client requests and service. Most recently, she began overseeing our Mariner retirement program for employees of Partners Healthcare and other area hospitals. To learn more about Casey, click here.  

We are pleased to announce that Casey Giordano passed Series 7 exam in October 2019!

The Series 7 exam, also called the General Securities Representative Exam, is a regulatory licensing exam administered by FINRA to assess the competency of entry-level finance professionals involved in the selling, trading or dealing of securities. The Series 7 is one of the most widely administered of FINRA’s regulatory exams. 

For a financial professional to obtain the General Securities Representative registration, there are a series of exams that must be passed. First, one must pass the Securities Industry Essentials (SIE) exam followed by the Series 7 exam. 

ABOUT THE SIE and Series 7 Exam

The Securities Industry Essentials (SIE or Essentials) Exam is a FINRA exam for prospective or entry-level securities industry professionals. The exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform his or her job as a general securities representative.

The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.

Candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take FINRA qualifications exams. For more information on eligibility requirements, refer to FINRA Rule 1220(b)(2).

Source: https://www.finra.org/industry/series7 and https://www.finra.org/industry/essentials-exam

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