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
Series 63 Course Topics
  • State Registration
  • Laws and Procedure
  • Penalties and Suspension
  • Lawful Practices
  • Definition of Terms
  • Discretionary Rules

You are leaving Crewsfs.com.

Close

You are leaving crewsfs.com. Crews & Associates, Inc. is a wholly owned, non-bank affiliate of First Security Bancorp. Crews provides this link for your convenience and in so doing assumes no responsibility for the content, links, privacy policy, or security policy of the following Web site.

Tools offered by the following Web site are provided for informational and illustrative purposes only. We guarantee neither the accuracy of the calculations nor their application to your circumstances. For personal advice, please consult with your account executive or investment banker.

Do you wish to continue?

Disclaimer

Close

The information offered and contained on this Crews & Associates, Inc. website is for viewer information only. None of this information is to be construed as an offer to buy or sell securities. Nothing contained herein shall be construed to be investment advice. All information is from sources believed to be reliable, but cannot be guaranteed. Investors should always consult with their Crews & Associates, Inc. Account Executive for specific details, and refer to the preliminary or final official statement for more information about any particular issue. Investors should be familiar with the terms - including maturities, call features, interest payments and credit quality of an issue - before purchasing it and the particular company before investing in any security.

Crews & Associates, Inc. makes no warranties or undertakings as to the accuracy of this information. The securities mentioned here are subject to prior sale and may not be available. The sale of these securities shall not take place in any jurisdiction in which it is unlawful to make such offer, solicitation or sale. In no event will Crews & Associates, Inc. be liable to you or anyone else for any decision made or action taken by you in reliance on such information or for any consequential, special or similar damages, even if advised of the possibility of such damages.

By choosing to download and view this preliminary official statement, you are acknowledging that you have read, understood and accepted this disclaimer.

Do you wish to continue?

Disclaimer

Close

If you have a 9-digit account number that begins with 3JG, please contact your account executive by calling 1.800.766.2000.

If you have an 8-digit account number that begins with 10, please click YES to proceed to online document access.

You are leaving crewsfs.com. Crews & Associates, Inc. is a wholly owned, non-bank affiliate of First Security Bancorp. Crews provides this link for your convenience and in so doing assumes no responsibility for the content, links, privacy policy, or security policy of the following Web site.

Tools offered by the following Web site are provided for informational and illustrative purposes only. We guarantee neither the accuracy of the calculations nor their application to your circumstances. For personal advice, please consult with your account executive or investment banker.

Do you wish to continue?