Series 7 Sponsorship in New York
Connect with top broker-dealer firms in New York and get comprehensive Series 7 exam preparation with local support
Find Series 7 sponsorship in New York City, Buffalo, Rochester, and Albany — we match you with the right firm and guide you to exam success.
Series 7 Opportunities in New York
New York is the world's #1 financial hub — home to Wall Street, the NYSE, and the highest concentration of broker-dealer firms on the planet
Series 7 Sponsorship by City
Explore broker-dealer opportunities across New York's major financial centers
New York City
#1 Financial HubThe world's financial capital and home to Wall Street, the NYSE, and 650+ broker-dealer firms. NYC offers unmatched opportunities for Series 7 licensed advisors serving ultra-high-net-worth clients, institutional investors, and global corporations.
Buffalo
Regional FinanceBuffalo's growing financial sector benefits from major regional banks, M&T Bank headquarters, and a revitalized downtown economy. Advisors here serve a mix of manufacturing executives, healthcare professionals, and a growing tech community.
Rochester
Tech & MedicalHome to Paychex, Wegmans, and a major medical corridor anchored by the University of Rochester Medical Center. Rochester offers strong demand for advisors serving technology executives, healthcare professionals, and university employees.
Albany
Government & EducationNew York's capital city with a large government workforce, state pension system, and growing tech sector anchored by GlobalFoundries. Advisors specializing in government employee benefits and 403(b) plans find excellent opportunities here.
Top Broker-Dealer Firms Sponsoring in New York
FATI partners with leading broker-dealer firms in New York to provide Series 7 sponsorship opportunities across the state
Morgan Stanley
Global WirehouseWorld's leading investment bank and wealth management firm headquartered in NYC. Provides elite Series 7 sponsorship, world-class training programs, and access to institutional-grade investment products.
Goldman Sachs
Global WirehousePremier global investment bank headquartered on Wall Street. Offers Series 7 sponsorship for top candidates seeking careers in wealth management, private banking, and institutional sales.
Merrill Lynch
WirehouseFull-service wirehouse with extensive New York presence. Offers Series 7 sponsorship, Bank of America's broad financial platform, and comprehensive training for new advisors across the state.
UBS Financial Services
Global WirehouseGlobal wealth management leader with Americas headquarters in NYC. Provides Series 7 sponsorship, access to ultra-high-net-worth clients, and a prestigious international platform.
Edward Jones
Independent B/DLeading branch-based firm with 300+ New York offices. Provides comprehensive training, Series 7 sponsorship, and an established client base for new advisors entering the New York market.
Charles Schwab
Discount Broker/B/DMajor financial services firm with strong New York presence. Sponsors Series 7 candidates and offers modern technology platforms, competitive compensation, and a client-first culture.
New York Series 7 Licensing Requirements
What you need to legally practice as a licensed securities representative in New York
Series 7 Exam — FINRA (Required)
125 questions, 225 minutes, 72% passing score. Covers equity securities, debt securities, options, customer accounts, and regulations. Must be sponsored by a FINRA-registered New York broker-dealer to register for the exam.
Series 63 Exam — Uniform Securities Agent State Law (Required)
60 questions, 75 minutes, 72% passing score. Required by the New York Department of Financial Services (DFS) for state registration. Covers New York securities regulations, ethical practices, and fiduciary responsibilities.
New York Department of Financial Services (DFS) Registration
All financial advisors must register with the NY DFS to practice in New York. Your sponsoring firm submits Form U4 through FINRA's Web CRD system. New York has some of the most rigorous compliance requirements in the country, including enhanced background checks and ongoing continuing education.
Additional Licenses (Optional but Valuable)
Life & Health Insurance License (NY Dept. of Financial Services) — required to sell insurance products. Series 65 or Series 66 — required for investment advisory services. CFP® or CFA designation — highly valued for wealth management roles in NYC.
Important: Sponsorship Required First
You cannot register for the Series 7 exam independently. Your first step is securing a position with a FINRA-registered broker-dealer in New York. FATI connects you with the right firm — they handle FINRA registration, cover exam fees, and provide study support.
How to Get Series 7 Sponsorship in New York
Our proven 4-step process for New York candidates
Apply & Assessment
Submit your application and complete our New York career readiness assessment. We evaluate your background, goals, and preferred city — NYC, Buffalo, Rochester, or Albany.
New York Firm Matching
We match you with 2–3 FINRA-registered broker-dealer firms in your preferred New York city. Interview with each to find the best cultural and professional fit.
Sponsorship & Exam Prep
Your New York firm registers you with FINRA and the New York Department of Financial Services (DFS). Access comprehensive Series 7 study materials, practice exams, and expert coaching.
Pass & Launch in New York
Pass your Series 7 exam with our 95% first-time pass rate support. Begin your financial advisor career in New York with full firm backing and ongoing mentorship.
Series 7 Salary in New York
New York offers the highest financial advisor salaries in the country — especially in New York City where top producers earn $500K+
Base salary while building your client base. Most New York firms provide leads, training, and exam fee coverage.
Established book of business with recurring revenue, growing referrals, and performance bonuses.
Large client base, team support, and leadership opportunities at major New York firms.
New York Market Advantage
New York's unmatched concentration of wealth, institutional investors, and global corporations creates the highest earning potential for Series 7 licensed advisors anywhere in the world.
Series 7 Exam Prep for New York Candidates
Comprehensive study resources and coaching to ensure you pass on your first attempt
Structured Study Plans
Customized daily schedules tailored to your availability — whether studying full-time or balancing work in NYC or Buffalo.
- Daily study schedules
- Progress tracking
- Milestone assessments
Accountability Coaching
One-on-one coaching with experienced Series 7 professionals. Weekly check-ins keep you on track throughout your New York exam prep.
- Weekly check-ins
- Expert guidance
- Motivation support
Practice Exam Strategy
Access 2,000+ practice questions and full-length mock exams that mirror the actual Series 7 testing experience at Prometric centers.
- 2,000+ practice questions
- Full-length mock exams
- Detailed explanations
New York Series 7 Sponsorship FAQ
Common questions about Series 7 sponsorship in New York
Ready to Get Your Series 7 Sponsorship in New York?
Join financial advisors across NYC, Buffalo, Rochester, and Albany who launched their careers through FATI
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