Congratulations to Alex Shields, Account Administrator, for recently passing his FINRA Series 7 Exam! With this addition, the Ascend Advisory Group team now includes 16 FINRA Series 7 licensed professionals.
According to the FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC, on their website, the Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their 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.
Ahead of being eligible for this exam, Alex was required to pass the Security Industry Essentials exam (SIE).
Alex’s commitment and education continues on with the ongoing requirement as a FINRA Series 7 licensed professional for continuing education.
We are proud to have Alex on the team at Ascend Advisory Group and are inspired by his commitment helping clients achieve their mission.