Equivalency Details
SERIES 9 AND 10 - GENERAL SECURITIES SALES SUPERVISOR EXAM -
Begin Date: 9/1/2015
End Date: 9/30/2020
Nonliberal:
In the upper-division baccalaureate degree category:
3 credits in Management Elective
Verification Procedures
A FINRA transcript is called a Web CRD/IARD Snapshot. A student who has passed the Series 7 examination will have the registration title “General Securities Representative” or "GS."
Students who are registered with a broker firm or investment advisor may obtain official documentation in either of the following ways:
- The student may request Snapshots from the licensing or compliance departments of their firm. The firm should send the CRD/IARD Snapshot directly to Empire State University Admissions.
- Series 7 examination results may also be available via Web CRD through BrokerCheck, a free online search tool. An Assessment Professional or mentor verifies a student’s status online. The Empire State University professional confirms that the student has passed the Series 7 exam by writing a memo to the portfolio.
Students who are not currently registered with a broker firm or investment advisor may still potentially be able to receive credit using the following method:
- Students should view their CRD record online at Finpro. If the record displays the date that the exam was taken, please contact the Office of Prior Learning at plaoffice@sunyempire.edu to set up an appointment to verify this information. Please note that all appointments are virtual.
Evaluation Info
This evaluation applies to exams completed during a specific time frame. Refer to the "Begin" and/or "End" dates listed above the credit recommendation for details. Please note that credit recommendations and minimum acceptable scores may be different for other time frames.
The information contained in this equivalency is unofficial. Eligibility for this credit must be confirmed directly with the SUNY Empire Office of the Registrar.
Documentation
Students must have official documentation on file with the university to be eligible for credit. PLEASE NOTE: To be considered official, the source institution (specified in the verification procedures on the left) must send documentation directly to Empire State University.
Source institutions may send documentation either electronically to admissions@sunyempire.edu OR by mail to
Admissions Office, Empire State University
111 West Avenue
Saratoga Springs, NY 12866
Department:
PUBLIC NOTE
Source catalog:
SUNY Empire State College Fall Course Descriptions 2022-2023