CREDENTIALS
Comprehensive industry exams demonstrating expertise across advisory, trading, and supervisory functions.
General Securities Principal Examination
Passed January 9, 2004
Registered Options Principal Examination
Passed August 28, 2003
General Securities Representative Examination
Passed March 1, 2001
National Commodity Futures Examination
Passed May 23, 2016
Uniform Combined State Law Examination
Passed August 2, 2007
Uniform Securities Agent State Law Exam
Passed March 8, 2001
Securities Industry Essentials Examination
Passed October 1, 2018
Operations Professional Examination
Passed January 2, 2023