Friday, August 8, 2025
  • About
  • Write for us
  • Contact
Today News
  • Business
  • Tech
    Smart Car Dash Cam

    How new drivers in big cities can stay safe with smart dash cam technology

    Close-up of a Ray-Ban Eyeglasses

    Ray-Ban Meta Partnership Drives EssilorLuxottica’s Q2 Success

    Telecom Communication

    Guideline to Picking Right Tailored Telcom Solutions

    Spreadsheet

    From Spreadsheet to Smart System: Why Financial Teams Need Web Apps and Formula Transparency

    Why eSIMs Are a Game Changer for Remote Workers

    Why eSIMs Are a Game Changer for Remote Workers

    Ways to Share Video Content Without Internet Access

    Ways to Share Video Content Without Internet Access

    Why UK Grant Management Software Is Essential for NGOs

    Why UK Grant Management Software Is Essential for NGOs

    One App, Infinite Uses: How Revolut Is Reshaping Online Transactions

    One App, Infinite Uses: How Revolut Is Reshaping Online Transactions

    VPNs

    Households and VPNs: The New Normal in Digital Protection

  • Consumer
    Craving Connection: Why Food Gifting Is the New Love Language

    Craving Connection: Why Food Gifting Is the New Love Language

    How to Celebrate Milestones from Afar: The Rise of Digital Gifting in the UK

    How to Celebrate Milestones from Afar: The Rise of Digital Gifting in the UK

    How to adjust glasses at home – a step-by-step guide!

    How to adjust glasses at home – a step-by-step guide!

    Why quality toilet cubicle hardware matters

    Why quality toilet cubicle hardware matters

    Common Mistakes in KYC Identity Verification

    Common Mistakes in KYC Identity Verification

    Consumer habits

    British Furniture Market Sees Significant Changes in Consumer Preferences

    Why are high-street bookmakers declining in the UK?

    Why are high-street bookmakers declining in the UK?

    Straps for smartwatches: The Complete guide

    Straps for smartwatches: The Complete guide

    High street retailers are at a “crossroads”, says retail tycoon

    High street retailers are at a “crossroads”, says retail tycoon

  • Finance
    Panoramic view of London's skyline featuring iconic buildings like the Shard and the London Eye against a clear sky

    Can London Still Compete with Silicon Valley and Berlin in Tech Investment?

    Using a Laptop

    How to Accept Altcoin Payments and Upgrade Your UX Strategy

    Crypto Loans Meet Open Banking: Will Hybrid Products Redefine Borrowing?

    Crypto Loans Meet Open Banking: Will Hybrid Products Redefine Borrowing?

    Fintevex.io vs The Rest: What Happened When We Put It to the Test

    Fintevex.io vs The Rest: What Happened When We Put It to the Test

    5 Smart Money Moves For Dynamic People

    5 Smart Money Moves For Dynamic People

    What Is a Payment Gateway and Why Your Business Needs One

    What Is a Payment Gateway and Why Your Business Needs One

    How Ethereum is changing things in the business world in 2025

    How Ethereum is changing things in the business world in 2025

    Financial Literacy and Artificial Intelligence – A Psychologist’s Perspective

    Financial Literacy and Artificial Intelligence – A Psychologist’s Perspective

    Everything You Need to Know About Multi-Million Loans

    Everything You Need to Know About Multi-Million Loans

  • Environment
    Five Ocean Discoveries That Could Change How We See the World

    Five Ocean Discoveries That Could Change How We See the World

    Choosing the Right Sustainability Partner: How Eco-Efficient Tech Transforms Industry

    Choosing the Right Sustainability Partner: How Eco-Efficient Tech Transforms Industry

    Moving Abroad? Here’s What to Expect – and Why Cardboard and Plastic Waste Removal Is Essential After Unpacking

    Moving Abroad? Here’s What to Expect – and Why Cardboard and Plastic Waste Removal Is Essential After Unpacking

    How Weather Events Like Heavy Rain or Heatwaves Affect Pest Activity

    How Weather Events Like Heavy Rain or Heatwaves Affect Pest Activity

    Building a Carbon-Competitive Advantage with Sustainability and Decarbonization Consulting

    Building a Carbon-Competitive Advantage with Sustainability and Decarbonization Consulting

    The Lost Art of Orienteering: Why Map and Compass Skills Still Matter

    The Lost Art of Orienteering: Why Map and Compass Skills Still Matter

    Sustainability in Dining: Reducing Waste for a More Profitable Future

    Sustainability in Dining: Reducing Waste for a More Profitable Future

    Environmental Benefits

    What Are The Environmental Benefits Of Choosing Eco-friendly Rubbish Removal In Croydon?

    Why You Should Hire Waste collectors for efficient waste removal

    Why You Should Hire Waste collectors for efficient waste removal

  • Property
    How to Streamline Your Home Expenses

    How to Streamline Your Home Expenses

    How To Plan Your Home Improvements in Six Easy Steps

    How To Plan Your Home Improvements in Six Easy Steps

    Budgeting for a House Sale: What Most Sellers Forget

    Budgeting for a House Sale: What Most Sellers Forget

    Home and business removals: Streamlining your move

    Home and business removals: Streamlining your move

    Maximizing Your Investments: A Guide to Purchasing Villas for Sale in Dubai 2025

    Maximizing Your Investments: A Guide to Purchasing Villas for Sale in Dubai 2025

    6 Common Admin Mistakes that Property Managers Make

    6 Common Admin Mistakes that Property Managers Make

    Property Investment Strategy

    Interest Rate Hikes and How They Impact Your Property Investment Strategy

    How Local Storage Services Make Home Organisation Easy

    How Local Storage Services Make Home Organisation Easy

    Stay safe at home: The benefits of intruder alarms in St Helens

    Stay safe at home: The benefits of intruder alarms in St Helens

  • eCommerce
    From 1688 to shopee: the singaporean seller’s guide to paying china suppliers

    From 1688 to shopee: the singaporean seller’s guide to paying china suppliers

    The Importance of Digital Valuations for UK Ecommerce Brands

    The Importance of Digital Valuations for UK Ecommerce Brands

    Blink-and-Buy: Designing Checkouts That Convert in Under 10 Seconds

    Blink-and-Buy: Designing Checkouts That Convert in Under 10 Seconds

    High Stakes Strategies: Lessons E-commerce Entrepreneurs Can Learn from Casinos

    High Stakes Strategies: Lessons E-commerce Entrepreneurs Can Learn from Casinos

    Amazon Expert

    Amazon Expert: Key Qualifications to Look For

    Boosting Ecommerce Revenue with Smart Targeting Strategies

    Boosting Ecommerce Revenue with Smart Targeting Strategies

    Personalized Shopping: How Technology is Transforming Retail

    Personalized Shopping: How Technology is Transforming Retail

    How Can Ecommerce Businesses Learn From Entertainment Platforms?

    How Can Ecommerce Businesses Learn From Entertainment Platforms?

    Magento Web Development Company: Unlocking the Power of E-Commerce

    Magento Web Development Company: Unlocking the Power of E-Commerce

No Result
View All Result
Today News
Home Finance

What Are Financial Securities Licenses?

David Prior by David Prior
July 12, 2023
Reading Time: 5 mins read
What Are Financial Securities Licenses?
759
VIEWS
Share on FacebookShare on TwitterShare on LinkedIn

Securities are stocks, bonds, units, and investment fund shares. They used to be printed on paper, but today they are digital. That is, they are records in brokerage and depository accounts, just like records of your deposits or loans in ordinary bank accounts.

The possession of financial securities gives the right (depending on the type of security) to receive part of the company’s profits, participate in the business, receive repayment of debt with interest, etc. The state, a municipality, or an individual company can become financial security issuers.

Related posts

Panoramic view of London's skyline featuring iconic buildings like the Shard and the London Eye against a clear sky

Can London Still Compete with Silicon Valley and Berlin in Tech Investment?

August 5, 2025
443
Using a Laptop

How to Accept Altcoin Payments and Upgrade Your UX Strategy

August 4, 2025
550

Securities have certain features:

  • they are standardized;
  • they are subject to state registration;
  • they can be bought and sold;
  • they are traded on the stock exchange.

Several types of securities must be studied by those who obtain financial securities licenses. First, there are equity securities. They certify the right to a share of something – for example, the company and its profits in the form of dividends. Furthermore, equity securities allow holders to vote in the management of the company, but this right corresponds to the size of the stake. It means that the larger the stake, the greater the weight of the asset holder. 

There are also debt securities that certify the fact of borrowing money by the issuer from the investor for a certain time and for a certain fee. Investors buy them to receive a regular stream of current payments in the form of interest or lump-sum income in the form of a discount. This distinguishes them from equity securities, in the purchase of which the investor doesn’t expect to receive dividends, but rather an increase in invested capital.

Overview of Financial Securities Licenses

A financial securities license is a certification provided by the Financial Industry Regulatory Authority (FINRA) that is required for professionals to obtain the right to sell securities and offer financial advice. FINRA is a US-only nonprofit organization that keeps track of the work of broker-dealers and is authorized by the government. A registered financial expert is a person who holds one or more securities licenses. Today, it’s possible to obtain different types of licenses, and each of them determines the services or financial products one may offer to clients.

These documents are a necessity for experts who want to become an investment advisor, securities salesperson, or select other professions in this niche.

Types of Financial Securities Licenses

The most common types of financial securities licenses issued by FINRA include:

  • Series 3. After getting the needed result of this test, examinees are permitted to sell commodities futures contracts and options on commodities futures contracts.
  • Series 6. This exam is designed for life insurance professionals. With such a license, experts are allowed to provide particular types of insurance, mutual funds, and variable annuities.
  • Series 7. This type is more in-depth than the previous one, and passing it enables individuals to market and sell a wider variety of securities products. The list includes mutual funds, exchange-traded funds, and options on corporate stocks and bonds. 

Moreover, some licenses are issued to high-level professionals, are required to get a more sophisticated career with an increased pay, and are overseen by the SEC. Thales Capital experts work with all of the FINRA licenses. Contact us to obtain the needed document:

Phone: +35220334030

Email: structuring@thales.lu

Address: 2 Place de Strasbourg L-2562 Luxembourg 

How to Obtain a Financial Securities License

Financial securities licenses are issued in several steps:

  1. Find out the type of license that you need to issue.
  2. Understand if the needed license requires to be sponsored by a company or work for a broker-dealer.
  3. Learn about requirements specified for a particular state.
  4. Complete the needed exam education and pass the test.

There are courses for training for the SIE exams which are required for obtaining a license.

Benefits of Holding a Financial Securities License

Professions obtained financial securities licenses get numerous benefits:

  • Earning potential. Financial professionals increase their income by qualifying for payroll employee positions with greater pays and the potential to earn significant commissions. They can complete extra tasks and, if possible, bring new clients for a charge, depending on their company.
  • Customer satisfaction. Professionals can offer extra services by selling securities. One person can take care of all of their clients’ financial needs, saving them from having to contact other experts.
  • Professional credibility. A license allows professionals to seek out new customers, launch their own companies, or get higher positions inside a reputable financial corporation.

Being a certificate meaningful in the industry, a financial securities license is hard to obtain. Besides passing an exam, a professional should study for it and prepare documents to access new job prospects. To ensure everything is completed according to the requirements, it’s better to work with the expert team during the entire process.

David Prior

David Prior is the editor of Today News, responsible for the overall editorial strategy. He is an NCTJ-qualified journalist with over 20 years’ experience, and is also editor of the award-winning hyperlocal news title Altrincham Today. His LinkedIn profile is here.

Previous Post

Buy Limit vs Buy Stop: Which One Better Suits Your Strategy

Next Post

Decoding Padlocks: Choosing the Right One for Your Security Needs

Related Posts

Panoramic view of London's skyline featuring iconic buildings like the Shard and the London Eye against a clear sky
Finance

Can London Still Compete with Silicon Valley and Berlin in Tech Investment?

August 5, 2025
443
Using a Laptop
Finance

How to Accept Altcoin Payments and Upgrade Your UX Strategy

August 4, 2025
550
Crypto Loans Meet Open Banking: Will Hybrid Products Redefine Borrowing?
Finance

Crypto Loans Meet Open Banking: Will Hybrid Products Redefine Borrowing?

August 2, 2025
554
Fintevex.io vs The Rest: What Happened When We Put It to the Test
Finance

Fintevex.io vs The Rest: What Happened When We Put It to the Test

July 29, 2025
451
5 Smart Money Moves For Dynamic People
Finance

5 Smart Money Moves For Dynamic People

July 28, 2025
493
What Is a Payment Gateway and Why Your Business Needs One
Finance

What Is a Payment Gateway and Why Your Business Needs One

July 21, 2025
583
Next Post
Decoding Padlocks: Choosing the Right One for Your Security Needs

Decoding Padlocks: Choosing the Right One for Your Security Needs

RECOMMENDED NEWS

Electric Bike

Electric Bikes Revolutionizing Urban Commuting: Their Rise

2 years ago
567
Crypto Bitcoin

E-Commerce on the Blockchain: Bitcoin & CyberMiles

2 years ago
572
Pink Medical Scrubs

Pink Power: Empower Yourself with Pink Medical Scrubs 

9 months ago
10
Building Assignment Writing Skills For University 2022

Building Assignment Writing Skills For University 2022

3 years ago
1.1k

BROWSE BY CATEGORIES

  • Business
  • Careers
  • Charity
  • Consumer
  • Culture
  • eCommerce
  • Education
  • Energy
  • Engineering
  • Entertainment
  • Entrepreneurs
  • Environment
  • Fashion
  • Finance
  • Food & Drink
  • Gaming
  • Gardening
  • Health
  • Insurance
  • Interiors
  • Legal
  • Leisure
  • Lifestyle
  • Manufacturing
  • Marketing
  • National
  • News
  • Opinion
  • Pets
  • Politics
  • Property
  • Sales
  • Sport
  • Sports
  • Tech
  • Transport
  • Travel
  • Uncategorized

BROWSE BY TOPICS

Agency AI autosmart banking Beauty business Christmas construction cyber security data digital Digital Marketing Services ecommerce entertainmnet finance fitness Forex health inflation insurance kitchen KYND lifestyle manchester music News north overseas Personal Injury Pharmaceutical Industry property Real Estate recruitment Sir Michael Morpurgo Skincare sports technology tourism travel UK vehicles Warkworth village watch workspace yorkshire

Latest news

Judge gavel, a small mallet

UK Gambling Reform 2025: What Betting Operators and Punters Can Expect

August 7, 2025
Man in black crew neck t-shirt using macbook

How Online Casino Gamers Stay Social While Playing Solo

August 7, 2025
Smart Car Dash Cam

How new drivers in big cities can stay safe with smart dash cam technology

August 7, 2025
Close-up of beers in Amsterdam

Beer Bike Amsterdam: Top Things to Avoid for the Best Experience

August 7, 2025
How to Streamline Your Home Expenses

How to Streamline Your Home Expenses

August 6, 2025
Virtual Cards

The Rise of Virtual Cards. What Businesses Need to Know for the Next 10 Years

August 6, 2025
E-Bike

Why Commuting by E-Bike Is One of the Easiest Ways to Reduce Your Carbon Footprint

August 6, 2025
Dental Implants

Restore Your Smile with Confidence: Find the Best Dental Implant Specialists

August 6, 2025
Babywonders

Babywonders UK: Luxury Baby Gift Sets for Cherished Moments

August 6, 2025
YouTube Views

From Zero to One Million YouTube Views: How This Creator Succeeded

August 6, 2025

Today News

  • About
  • Write for us
  • Contact
  • Privacy Policy

@2024 Rooftree Publishing Ltd

Today News in association with Kajino.com

Sign up for our newsletter




  • Business
  • Tech
  • Consumer
  • Finance
  • Environment
  • Property
  • eCommerce

Recent News

Judge gavel, a small mallet

UK Gambling Reform 2025: What Betting Operators and Punters Can Expect

August 7, 2025
Man in black crew neck t-shirt using macbook

How Online Casino Gamers Stay Social While Playing Solo

August 7, 2025
No Result
View All Result
  • Home
  • Business
  • Tech
  • Consumer
  • Finance
  • Environment
  • Property
  • eCommerce
  • Write for us
  • About
  • Contact