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Survey: Is a securities license important to you?

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What is your opinion on getting a securities license? Do you currently have one and if you don’t, will you be getting one in the foreseeable future?

We are currently asking this question and others in our annual industry survey. I encourage you to take the survey so we can get your thoughts on the securities question as well as other items, such as where you’re finding success, where you see the biggest challenges to your practice, and what type of content you’d like to see at

In looking at early responses to the survey, nearly 38 percent say they have a securities license, while just over 62 percent do not have one. We then asked those without a license if they plan to get one in the future. The answer was resounding, with over 80 percent of those without a license saying they have no plans to get one.

Of those who say they will be getting licensing in the future the most popular licenses were the following (the percentage of advisors is listed in parentheses):

  • Series 6 (45 percent)
  • Series 63 (45 percent)
  • Series 65 (27 percent)
  • Series 7 (27 percent)

If you have thoughts you’d like to share with us regarding securities licensing or the state of the industry in general, please take the industry survey, leave a comment below or email me at [email protected]. I look forward to hearing from you.

Click here to see the results of last year’s industry survey.


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