At Southwest Wealth Advisory Group, we believe that all of our clients should have some type of guarantee for lifetime income, and a strategy that will capture gains and prevent significant losses automatically within their portfolios. With the same passion that I had for protecting this country for over 29 years, I am passionate about protecting my clients' retirement assets and their security throughout their retirement.
The Series 7 license is known as the general securities representative (GS) license. It authorizes licensees to sell virtually any type of individual security.
As of July 17, 1991
The Series 63 license, known as the Uniform Securities Agent license, is required by each state and authorizes licensees to transact business within the state. All Series 6 and Series 7 licensees must carry this license as well.
As of August 1, 1991
As of March 7, 2000
This Series 66 is the newest exam offered by NASAA. In essence, it combines the Series 63 and 65 exams into one 150-minute exam. This test contains no investment material, as the Series 66 license is only available to candidates that are already Series 7 licensed.
As of October 12, 2007
Military Officers Association of America
January 2011 –
Financial Services Institute
January 2013 –
Arizona Chapter, U.S. Veterans Chamber of Commerce
June 2013 –
Series 7 Exam
The FINRA General Securities Representative Examination
Passed July 17, 1991
The Uniform Securities Agent State Law Examination
Passed August 1, 1991
Arizona Insurance Exam
Arizona insurance exams for Health, Life, and Variable Annuity licenses
Passed October 4, 1991
The General Securities Principal Examination
Passed March 7, 2000
The Uniform Combined State Law Examination
Passed October 12, 2007