Crews & Associates About the Firm
Home
About the Firm
Background   
Careers & Opportunities   
Corporate Securities   
Equities   
First Security Bancorp   
First Security Beardsley   
Public Finance
   
Retail Investment Brokers   
Mortgage-Backed Securities   
Municipal Securities   
Operations   
Required Licenses & Exams   
Statement of   
Financial Condition
   
Syndicate Underwriting   
Taxable Securities   
Public Finance
Investments
Portfolio Request
Bond Inventory
Contact Us
Crews & Associates

Required Licenses & Exams

Required Licenses & Exams

Crews & Associates, Inc. is a registered securities dealer with the Securities & Exchange Commission (S.E.C.), the Municipal Securities Rulemaking Board, FINRA (Financial Industry Regulatory Authority), and over 40 other regulatory jurisdictions in the United States.

As a member of these rulemaking and regulatory bodies, we adhere to all rules and uniform practices. Contact with the public to solicit or engage in securities sales practice is limited to those which have passed approved qualification exams.

At Crews & Associates, we require our registered account representatives to pass the Series 7 (Full Registration/General Security Representative Examination) and Series 63 (Uniform Securities Agent State Law Examination). All persons who choose to take these industry exams must be sponsored by a registered securities dealer. We fully sponsor each candidate selected for employment in these courses, and then we teach them through instruction by our own investment professionals. Completion of licensing requirements is achieved only after much time is spent in our classroom. Homework is completed, progress exams are passed, and ultimately, the 6-hour computerized industry exam is administered and successfully passed.

Series 7 Course Topics
  • Equity, debt, and special securities
  • U.S. Government, agency, and money market securities
  • Issuing and trading securities
  • Margin regulations
  • Fundamental analysis
  • Technical analysis
  • Analysis
  • Economics
  • Taxation
  • Brokerage office procedures
  • Retirement plans
  • Investment companies
  • CMOs, REITs, and REMICs
  • Annuities and variable contracts
  • Direct participation programs
  • Options
  • Municipal securities
  • Rules and regulations
  • Technical analysis
  • Client accounts
  • Investment recommendations

 

 |   | 

 

Crews & Associates

Securities (including mutual funds) are not bank deposits and are not FDIC insured, nor are they obligations of or guaranteed by Crews & Associates, Inc., First Security Bancorp, First Security Bank or any of their affiliates. Securities (including mutual funds) involve investment risks, including the possible loss of the principal amount invested.

We suggest you consult your personal tax advisor before making tax-related investment decisions.

Please send questions or comments to web@crewsfs.com

Privacy Policy    |    U.S.A. Patriot Act    |    Business Continuity Plan    |    Terms of Use

Copyright ©2004 Crews & Associates, Inc. All rights reserved.
First Security Center, 521 President Clinton Ave., Suite 800, Little Rock, AR 72201
Download Maps and Directions
Member FINRA/SIPC
Do not duplicate or redistribute in any form.

Statement of Financial Condition

About the Firm | Public Finance | Portfolio Request | Bond Inventory | Contact Us | Home

Crews & Associates