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.