Series 7 General Securities Representative Certificate Program

Prove you’ve got what it takes to become a stockbroker.

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Known as the General Securities Registered Representative, this entry-level license allows finance professionals to sell a broad range of securities. A Series-7 representative is allowed to sell corporate stocks and bonds, municipal bonds, mutual funds, variable annuities, options, direct participation program (DPP) partnerships, and packaged securities (i.e., collateralized mortgage obligations). The Series 7 is generally preferred by banks and broker dealers for new recruits coming directly into the financial services industry. Those who get this license are officially listed as registered representatives by FINRA, but are more commonly referred to as stockbrokers. Our blend of live, industry expert instruction and Kaplan Premium learning platform are designed to work in unison to:

  • Make your prep-time more productive
  • Reduce study time
  • Help you understand difficult material
  • Provide you with the direction and motivation to succeed
  • Offer expert instruction and review just prior to taking the examination

Learning Objectives

Gain 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

Who Will Benefit:

  • Candidates wishing to enter (or re-enter) the securities industry
  • Finance students at both the undergraduate or graduate level

Experience Level: Basic

Prerequisites/Advance Preparation: None

Delivery Method: Instructor-Led, Live Online

Upcoming Schedule: October 13 to December 8, 2020 / Tuesdays, 6:00 p.m. to 9:00 p.m.

Program Fee: The Early Bird fee is $760.75 (before Aug. 25) / The standard fee is $895

For More Information: Contact program coordinator Dorys Saxlehner at


FIU Business Executive Education can create customized training programs for your organization. To discuss, please contact us by submitting the inquiry form at the bottom of this page or telephone 305.348.4217


20% discount to companies that enroll three or more employees in a program


The standard program fee is $895
  • This Live Online program is taught by Flavio Carrillo, the director of the Capital Markets Lab at FIU Business, faculty member and active financial industry expert.
Florida International University 
11200 SW 8th Street
Miami, FL 33199

Phone: 305.348.4217

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