north carolina

A career in stock brokerage could offer a lot of rewards, mostly financial ones. So you could just imagine a lot of people who wish to be part of the industry. As an aspiring stockbroker, there is a lot of solid competition already out there. You have to come in well-equipped. And if you are looking to solicit clients in the state of North Carolina, you have to check with the local securities department for their unique qualifications. But to name a few:

Take Qualifying Examinations

The Series 7 exam regulated by FINRA is the most basic qualifying exam you have to pass. But for you to be qualified to take it, you have to get a broker-dealer firm in North Carolina to sponsor you. If you come in and they see potential in you, they would sponsor your registration with FINRA via said exam and they could also require you to pass either the Series 63 or the Series 66 exam. 

There is no specific college course for aspiring stockbrokers, so whether you finish college or not, you could get licensed. This means that you have to be responsible for knowing what you need to learn to be successful in the industry. You could get yourself a mentor in the form of someone who has been in the industry for a couple of years. There is a lot to learn, remember that.

Recommended Colleges in North Carolina

  • The University of Phoenix – The University of Phoenix at North Carolina has two locations. There is one in Charlotte and the other one can be found around the Raleigh area. Now, the university offers its students and aspiring enrolees the chance to obtain an associate degree, a bachelor’s degree, a doctoral degree, a master’s degree, a MACC degree and an MBA degree. The university also provides the students with the opportunity to conquer the following courses: accounting, administration, entrepreneurship, hospitality management, human resources management, IT management, marketing and music/entertainment/sports management. The school also offers an online course to some of their programs.
  • The University of North Carolina at Greensboro – The University of North Carolina at Greensboro is one of the campuses of the University of North Carolina that can offer a lot to aspiring enrolees. One can obtain a bachelor’s degree, a certificate, a doctoral degree, a master’s degree, a MACC degree and an MBA degree in this university. The school also offers a variety of courses from which you can choose from, and they are the likes of accounting, administration, entrepreneurship, human resources management, IT management, international business, marketing and music/entertainment/sports management. Just like the University of Phoenix, they offer programs online.

To summarize, the stock brokerage career is a tricky one. You need not a college diploma, but there are qualifying exams you have to take. Your own training while on the job is on you, and finishing college is still recommended albeit not required. So, good luck out there!