A former senior investment manager at JPMorgan Chase, Darin Pastor draws upon years of financial experience to head Capstone Affluent Strategies as CEO and principal. Complementing this role, Darin Pastor maintains a Financial Industry Regulatory Authority (FINRA) Series 7 license.
An Overview of FINRA Series 66 ContentDarin Pastor
Darin Pastor is a former managing director of Prudential Financial with over two decades of financial industry experience. Currently, Darin Pastor serves as the chief executive officer and principal at Capstone Affluent Strategies, where he leverages his expertise and credentials, which include Financial Industry Regulatory Authority (FINRA) Series 6, 7, 24, 51, 63, and 66 credentials.
The FINRA Series 66, also known as the Uniform Combined State Law Examination, is an examination that qualifies individuals to serve as investment advisor representatives or securities agents. Although FINRA administers the examination, it was created and is maintained by the North American Securities Administrators Association. Currently, the Series 66 covers economic and business elements, investment vehicle characteristics, investment strategies, and laws, regulations, and guidelines.
The Series 66 is a co-requisite of the Series 7 exam, which allows financial professionals to sell all types of securities products (except commodities and futures). Financial professionals must pass both examinations before applying to register as an investment advisor representative or securities agent in a state.
Risk Management Certification White Paper Feb 2010
Understanding the value of the two Risk Management Certifications. PRMIA and GARP are the two largest organizations in the Risk Management space. Their certifications are PRM and FRM
Earning a Certified Investment Management Analyst DesignationScott Cruse
An experienced financial and investment professional, Scott Cruse is the senior vice president of Morgan Stanley’s Los Gatos, California, location. Scott Cruse, a resident of Los Gatos, has completed the Certified Investment Management Analyst (CIMA) certification program.
Global Star Certification - Your Gateway to ExcellenceIIOM
Viability serves as the foundation for sustained business operation. The GSC qualifies a company\'s ability to sustain operations (even despite stellar delivery performance). Be ahead of the question by establishing your place in today\'s changing economic market.
An Overview of FINRA Series 66 ContentDarin Pastor
Darin Pastor is a former managing director of Prudential Financial with over two decades of financial industry experience. Currently, Darin Pastor serves as the chief executive officer and principal at Capstone Affluent Strategies, where he leverages his expertise and credentials, which include Financial Industry Regulatory Authority (FINRA) Series 6, 7, 24, 51, 63, and 66 credentials.
The FINRA Series 66, also known as the Uniform Combined State Law Examination, is an examination that qualifies individuals to serve as investment advisor representatives or securities agents. Although FINRA administers the examination, it was created and is maintained by the North American Securities Administrators Association. Currently, the Series 66 covers economic and business elements, investment vehicle characteristics, investment strategies, and laws, regulations, and guidelines.
The Series 66 is a co-requisite of the Series 7 exam, which allows financial professionals to sell all types of securities products (except commodities and futures). Financial professionals must pass both examinations before applying to register as an investment advisor representative or securities agent in a state.
Risk Management Certification White Paper Feb 2010
Understanding the value of the two Risk Management Certifications. PRMIA and GARP are the two largest organizations in the Risk Management space. Their certifications are PRM and FRM
Earning a Certified Investment Management Analyst DesignationScott Cruse
An experienced financial and investment professional, Scott Cruse is the senior vice president of Morgan Stanley’s Los Gatos, California, location. Scott Cruse, a resident of Los Gatos, has completed the Certified Investment Management Analyst (CIMA) certification program.
Global Star Certification - Your Gateway to ExcellenceIIOM
Viability serves as the foundation for sustained business operation. The GSC qualifies a company\'s ability to sustain operations (even despite stellar delivery performance). Be ahead of the question by establishing your place in today\'s changing economic market.
Session 8: " Exam Preparations & Recap"
Learn more about PgMP® and PfMP® and the positive impact they may have on your professional career. Both PgMP® & PfMP® from PMI could help you achieve that elusive promotion or get you that golden ticket to joining your dream organization.
The webinar will cover popular questions surrounding the certifications, the journey to obtain the certifications, the pathways to prepare, eligibility requirements, the application process, experience documentation, the audit process, exam information, fees, sample examination questions, and the standards involved.
The session presenter, Mr.Dharam Singh, is an accomplished management professional with over 27 years of experience in the IT, Telecommunication, Government, Banking, and Insurance industries with a successful track record in managing large teams in a strongly customer-focused service environment and delivering complex multiple multi-million dollar projects. As on May 2023, he has contributed to the success of 454 global PgMP®s and 115 PfMP®s from 49 countries.
Call us at U.S: +1 6502830123
email ID: info@vcareprojectmanagement.com
For any questions related to Project Management career, training, and certifications, you can book an obligation free 15 minutes session with Dharam Singh, CEO, PgMP, PfMP, PMP, RMP, ACP, PBA, DASM, DASSM, PMI-ATP by visiting https://bit.ly/2SbhTOK
You can subscribe to vCare Project Management YouTube Channel to catch future videos of our Q&A series and certification success stories: https://bit.ly/2YF0wJl
You can subscribe and follow Dharam podcasts and interviews with Project Management Experts on YouTube at https://bit.ly/2NDY8wd
Upcoming Online Mentoring Programs:
PgMP® - http://bit.ly/2oBKQXQ
PfMP® - http://bit.ly/39jOZSf
LinkedIn Study Group:
PgMP4U - http://bit.ly/2SBPwIp
PfMP4U - http://bit.ly/31P7GKR
PgMP Q&A series Playlist Link: https://bit.ly/2Yo7EvQ
PfMP Q&A Series YouTube Playlist Link: https://bit.ly/3BORnPq
E-Learning Programs: http://bit.ly/3b2HOid
Books: http://bit.ly/2oypc6E
FINRA and SIE Examinations- On March 8, 2017, FINRA, filed a proposed rule change with the SEC to adopt amended registration rules and restructure the entry-level qualification examination for registered representatives. The new rules would also eliminate certain examination categories. In the last LawCast in this series I talked about the new Securities Industry Essentials or the SIE exam...
CPP certification - What is the CPP certification?Zabeel Institute
CPP certification is taken into consideration the "gold requirement" accreditation for safety management experts and also demonstrates your expertise and also expertise in 7 vital domain names of protection. Around the world identified as the requirement of excellence for safety and security management specialists.
This article discusses and explains to you CPP certification, and what is the CPP certification?
Stock Market Course With Placement: Technical analysis, Share Market Institute, Indian Stock Market Courses In India, risk management, and other areas of Best Stock Market Courses In India methods are all covered in-depth in this top-notch program. Additionally, they offer opportunities for practical training that include access to data analytics software, simulated trading environments, and live trading terminals.
London School of International Business offers online ATHE Level 6 Diploma in Business and Administrative Management (120 Credit) in just 8 months.
Get in touch with us at www.LSIB.co.uk via Live Chat.
Pay fee in easy flexible instalments:
Monthly / Quarterly or half yearly
Payment can be made online using credit / debit card
You can also pay through bank transfer/ EFT
Extra 5% discount available for those paying in full.
London School of International Business offers online ATHE Level 6 Diploma in Business Management (120 credits) in just 8 months.
Get in touch with us at www.LSIB.co.uk via Live Chat.
Pay fee in easy flexible instalments:
Monthly / Quarterly or half yearly
Payment can be made online using credit / debit card
You can also pay through bank transfer/ EFT
Extra 5% discount available for those paying in full.
Renaissance Regulatory Services, Inc. - Services Overview Presentation Louis Dempsey
RRS provides comprehensive regulatory compliance support to broker-dealers, investment advisers, investment company's and other financial services firms. RRS strives to provide clients with prompt professional support for virtually any SEC, FINRA, or State regulatory need, from compliance program development to examination and testing.
Real estate risk advisory brochure 2013Nidhi Gupta
Riskpro India is a specialized Risk Management Consulting firm providing risk management advisory, risk trainings, internal audits, forensic accounting, investigations, fraud prevention, process reviews services etc.
Real estate services involves the purchase, ownership, management, rental and/or sale of real estate for profit. Improvement of realty property as part of a real estate investment strategy is generally considered to be a sub-specialty of real estate investing called real estate development. Real estate is an asset form with limited liquidity relative to other investments. Management and evaluation of risk is a major part of any successful real estate investment strategy where risk occurs in many different ways at every stage of the investment process from sale, purchase, tenancy to market and environmental conditions where one needs a prudent approach for mitigating potential risks in this business for investors, buyers, sellers and vendors.
Basis above backdrop we’re pleased to launch our comprehensive Real estate Risk advisory services in addition to our existing bouquet of Risk advisory, Consulting, Training & Human Capital Services. Our services are offered through our multi location delivery centres in major metros with total presence in 11 Indian cities network.
“We are quoted in recent Economic Times news as among fastest growing risk consulting firms in India.”
Session 8: " Exam Preparations & Recap"
Learn more about PgMP® and PfMP® and the positive impact they may have on your professional career. Both PgMP® & PfMP® from PMI could help you achieve that elusive promotion or get you that golden ticket to joining your dream organization.
The webinar will cover popular questions surrounding the certifications, the journey to obtain the certifications, the pathways to prepare, eligibility requirements, the application process, experience documentation, the audit process, exam information, fees, sample examination questions, and the standards involved.
The session presenter, Mr.Dharam Singh, is an accomplished management professional with over 27 years of experience in the IT, Telecommunication, Government, Banking, and Insurance industries with a successful track record in managing large teams in a strongly customer-focused service environment and delivering complex multiple multi-million dollar projects. As on May 2023, he has contributed to the success of 454 global PgMP®s and 115 PfMP®s from 49 countries.
Call us at U.S: +1 6502830123
email ID: info@vcareprojectmanagement.com
For any questions related to Project Management career, training, and certifications, you can book an obligation free 15 minutes session with Dharam Singh, CEO, PgMP, PfMP, PMP, RMP, ACP, PBA, DASM, DASSM, PMI-ATP by visiting https://bit.ly/2SbhTOK
You can subscribe to vCare Project Management YouTube Channel to catch future videos of our Q&A series and certification success stories: https://bit.ly/2YF0wJl
You can subscribe and follow Dharam podcasts and interviews with Project Management Experts on YouTube at https://bit.ly/2NDY8wd
Upcoming Online Mentoring Programs:
PgMP® - http://bit.ly/2oBKQXQ
PfMP® - http://bit.ly/39jOZSf
LinkedIn Study Group:
PgMP4U - http://bit.ly/2SBPwIp
PfMP4U - http://bit.ly/31P7GKR
PgMP Q&A series Playlist Link: https://bit.ly/2Yo7EvQ
PfMP Q&A Series YouTube Playlist Link: https://bit.ly/3BORnPq
E-Learning Programs: http://bit.ly/3b2HOid
Books: http://bit.ly/2oypc6E
FINRA and SIE Examinations- On March 8, 2017, FINRA, filed a proposed rule change with the SEC to adopt amended registration rules and restructure the entry-level qualification examination for registered representatives. The new rules would also eliminate certain examination categories. In the last LawCast in this series I talked about the new Securities Industry Essentials or the SIE exam...
CPP certification - What is the CPP certification?Zabeel Institute
CPP certification is taken into consideration the "gold requirement" accreditation for safety management experts and also demonstrates your expertise and also expertise in 7 vital domain names of protection. Around the world identified as the requirement of excellence for safety and security management specialists.
This article discusses and explains to you CPP certification, and what is the CPP certification?
Stock Market Course With Placement: Technical analysis, Share Market Institute, Indian Stock Market Courses In India, risk management, and other areas of Best Stock Market Courses In India methods are all covered in-depth in this top-notch program. Additionally, they offer opportunities for practical training that include access to data analytics software, simulated trading environments, and live trading terminals.
London School of International Business offers online ATHE Level 6 Diploma in Business and Administrative Management (120 Credit) in just 8 months.
Get in touch with us at www.LSIB.co.uk via Live Chat.
Pay fee in easy flexible instalments:
Monthly / Quarterly or half yearly
Payment can be made online using credit / debit card
You can also pay through bank transfer/ EFT
Extra 5% discount available for those paying in full.
London School of International Business offers online ATHE Level 6 Diploma in Business Management (120 credits) in just 8 months.
Get in touch with us at www.LSIB.co.uk via Live Chat.
Pay fee in easy flexible instalments:
Monthly / Quarterly or half yearly
Payment can be made online using credit / debit card
You can also pay through bank transfer/ EFT
Extra 5% discount available for those paying in full.
Renaissance Regulatory Services, Inc. - Services Overview Presentation Louis Dempsey
RRS provides comprehensive regulatory compliance support to broker-dealers, investment advisers, investment company's and other financial services firms. RRS strives to provide clients with prompt professional support for virtually any SEC, FINRA, or State regulatory need, from compliance program development to examination and testing.
Real estate risk advisory brochure 2013Nidhi Gupta
Riskpro India is a specialized Risk Management Consulting firm providing risk management advisory, risk trainings, internal audits, forensic accounting, investigations, fraud prevention, process reviews services etc.
Real estate services involves the purchase, ownership, management, rental and/or sale of real estate for profit. Improvement of realty property as part of a real estate investment strategy is generally considered to be a sub-specialty of real estate investing called real estate development. Real estate is an asset form with limited liquidity relative to other investments. Management and evaluation of risk is a major part of any successful real estate investment strategy where risk occurs in many different ways at every stage of the investment process from sale, purchase, tenancy to market and environmental conditions where one needs a prudent approach for mitigating potential risks in this business for investors, buyers, sellers and vendors.
Basis above backdrop we’re pleased to launch our comprehensive Real estate Risk advisory services in addition to our existing bouquet of Risk advisory, Consulting, Training & Human Capital Services. Our services are offered through our multi location delivery centres in major metros with total presence in 11 Indian cities network.
“We are quoted in recent Economic Times news as among fastest growing risk consulting firms in India.”
Vitamin Angels: Providing Vitamin A to Populations in NeedDarin Pastor
Investment banker Darin Pastor is the CEO of Capstone Affluent Strategies, an independent wealth management firm headquartered in Newport Beach, California. Darin Pastor also supports charities such as Vitamin Angels, an organization that works to enhance the availability of micronutrients, especially Vitamin A, for people who have vitamin deficiencies.
University of Liverpool Named One of the Top Business SchoolsDarin Pastor
A successful wealth management executive, Darin Pastor serves as the CEO of Capstone Affluent Strategies. Before leading Capstone, Darin Pastor earned an MBA from the University of Liverpool Management School (ULMS) and completed other prominent executive education programs.
The Purpose of Property and Casualty InsuranceDarin Pastor
Experienced financial services professional Darin Pastor is the longtime CEO of Capstone Financial Group, an internationally focused capital management firm. In addition, Darin Pastor is licensed in property and casualty insurance products.
What to Know before Pursuing an LLM in Banking LawDarin Pastor
An accomplished financial executive, Darin Pastor serves as the CEO of Capstone Affluent Strategies, a wealth management firm based in Newport Beach, California. Committed to continuing education in the financial field, Darin Pastor has completed executive education programs at Harvard Business School and the Wharton School of Business, and he is pursuing a master of laws, or LLM (Legum Magister), in international finance and banking law.
How Companies Benefit by Offering Employees EquityDarin Pastor
A former executive at Chase Investment Services Corporation, Darin Pastor is now the CEO of Capstone Affluent Strategies. In this role, Darin Pastor has received accolades for the human resources benefits of the company, which include higher education refunds and employee ownership.
Capstone’s $57 Million Investment in Twinlab Consolidation Corp.Darin Pastor
Investment management professional Darin Pastor is the chairman and CEO of Capstone Financial Group. Providing oversight over Capstone’s investments, Darin Pastor was involved in its 2014 injection of $57 million into Twinlab Consolidation Corporation, a health and wellness company.
Chase Bank Enters New Markets on the Eastern SeaboardDarin Pastor
Darin Pastor, CEO of the independent East Amherst, New York based firm Capstone Affluent Strategies, has an extensive background in wealth management and financial services. Darin Pastor has previously held the executive roles of Senior Vice President and Senior Investment Manager of Chase Investment Services Corp, a subsidiary of JP Morgan Chase.
Innovation Tournaments at the Wharton SchoolDarin Pastor
As CEO and principal at Capstone Affluent Strategies, Darin Pastor oversees wealth management products and services in addition to directing regional expansions. Darin Pastor holds a number of professional credentials from the Wharton School of Business, including certificates in strategic persuasion and innovation.
Wharton-INSEAD Partnership Enhances International Business StudiesDarin Pastor
As the president and CEO of Capstone Financial Group in Southern California, Darin Pastor guides the strategies of the company. He has studied finance and business administration at Drexel University, the University of Liverpool, and The Wharton School of the University of Pennsylvania. Darin Pastor’s studies at The Wharton School earned him certificates in negotiation, strategic persuasion, mergers and acquisitions, and other essential executive skills.
Dream Center Supports Veterans and Youth Leaving Foster CareDarin Pastor
Since 2012, Darin Pastor has served as the CEO of Capstone Affluent Strategies, a subsidiary of Capstone Financial Group. A philanthropist, Darin Pastor supports the Dream Center in Los Angeles.
Wharton’s Certificate of Professional Development Enhances LeadershipDarin Pastor
Darin Pastor serves as the CEO of Capstone Affluent Strategies, which became a subsidiary of Capstone Financial Group in 2017. Holding an MBA from the University of Liverpool in the United Kingdom, Darin Pastor has also earned several certificates from The Wharton School of Business at the University of Pennsylvania.
With a career encompassing over 20 years of financial service and managerial experience, Darin Pastor serves as the Chairman and CEO of the Capstone Financial Group. Based in East Amherst, New York, Darin Pastor has held a number of senior investment and advisory positions in the finance industry, while still finding time to support nonprofit organizations like the Vitamin Angel Alliance (Vitamin Angels).
Turin Startup Ecosystem 2024 - Ricerca sulle Startup e il Sistema dell'Innov...Quotidiano Piemontese
Turin Startup Ecosystem 2024
Una ricerca de il Club degli Investitori, in collaborazione con ToTeM Torino Tech Map e con il supporto della ESCP Business School e di Growth Capital
how to sell pi coins in all Africa Countries.DOT TECH
Yes. You can sell your pi network for other cryptocurrencies like Bitcoin, usdt , Ethereum and other currencies And this is done easily with the help from a pi merchant.
What is a pi merchant ?
Since pi is not launched yet in any exchange. The only way you can sell right now is through merchants.
A verified Pi merchant is someone who buys pi network coins from miners and resell them to investors looking forward to hold massive quantities of pi coins before mainnet launch in 2026.
I will leave the telegram contact of my personal pi merchant to trade with.
@Pi_vendor_247
how can I sell pi coins after successfully completing KYCDOT TECH
Pi coins is not launched yet in any exchange 💱 this means it's not swappable, the current pi displaying on coin market cap is the iou version of pi. And you can learn all about that on my previous post.
RIGHT NOW THE ONLY WAY you can sell pi coins is through verified pi merchants. A pi merchant is someone who buys pi coins and resell them to exchanges and crypto whales. Looking forward to hold massive quantities of pi coins before the mainnet launch.
This is because pi network is not doing any pre-sale or ico offerings, the only way to get my coins is from buying from miners. So a merchant facilitates the transactions between the miners and these exchanges holding pi.
I and my friends has sold more than 6000 pi coins successfully with this method. I will be happy to share the contact of my personal pi merchant. The one i trade with, if you have your own merchant you can trade with them. For those who are new.
Message: @Pi_vendor_247 on telegram.
I wouldn't advise you selling all percentage of the pi coins. Leave at least a before so its a win win during open mainnet. Have a nice day pioneers ♥️
#kyc #mainnet #picoins #pi #sellpi #piwallet
#pinetwork
Introduction to Indian Financial System ()Avanish Goel
The financial system of a country is an important tool for economic development of the country, as it helps in creation of wealth by linking savings with investments.
It facilitates the flow of funds form the households (savers) to business firms (investors) to aid in wealth creation and development of both the parties
If you are looking for a pi coin investor. Then look no further because I have the right one he is a pi vendor (he buy and resell to whales in China). I met him on a crypto conference and ever since I and my friends have sold more than 10k pi coins to him And he bought all and still want more. I will drop his telegram handle below just send him a message.
@Pi_vendor_247
Empowering the Unbanked: The Vital Role of NBFCs in Promoting Financial Inclu...Vighnesh Shashtri
In India, financial inclusion remains a critical challenge, with a significant portion of the population still unbanked. Non-Banking Financial Companies (NBFCs) have emerged as key players in bridging this gap by providing financial services to those often overlooked by traditional banking institutions. This article delves into how NBFCs are fostering financial inclusion and empowering the unbanked.
how can i use my minded pi coins I need some funds.DOT TECH
If you are interested in selling your pi coins, i have a verified pi merchant, who buys pi coins and resell them to exchanges looking forward to hold till mainnet launch.
Because the core team has announced that pi network will not be doing any pre-sale. The only way exchanges like huobi, bitmart and hotbit can get pi is by buying from miners.
Now a merchant stands in between these exchanges and the miners. As a link to make transactions smooth. Because right now in the enclosed mainnet you can't sell pi coins your self. You need the help of a merchant,
i will leave the telegram contact of my personal pi merchant below. 👇 I and my friends has traded more than 3000pi coins with him successfully.
@Pi_vendor_247
US Economic Outlook - Being Decided - M Capital Group August 2021.pdfpchutichetpong
The U.S. economy is continuing its impressive recovery from the COVID-19 pandemic and not slowing down despite re-occurring bumps. The U.S. savings rate reached its highest ever recorded level at 34% in April 2020 and Americans seem ready to spend. The sectors that had been hurt the most by the pandemic specifically reduced consumer spending, like retail, leisure, hospitality, and travel, are now experiencing massive growth in revenue and job openings.
Could this growth lead to a “Roaring Twenties”? As quickly as the U.S. economy contracted, experiencing a 9.1% drop in economic output relative to the business cycle in Q2 2020, the largest in recorded history, it has rebounded beyond expectations. This surprising growth seems to be fueled by the U.S. government’s aggressive fiscal and monetary policies, and an increase in consumer spending as mobility restrictions are lifted. Unemployment rates between June 2020 and June 2021 decreased by 5.2%, while the demand for labor is increasing, coupled with increasing wages to incentivize Americans to rejoin the labor force. Schools and businesses are expected to fully reopen soon. In parallel, vaccination rates across the country and the world continue to rise, with full vaccination rates of 50% and 14.8% respectively.
However, it is not completely smooth sailing from here. According to M Capital Group, the main risks that threaten the continued growth of the U.S. economy are inflation, unsettled trade relations, and another wave of Covid-19 mutations that could shut down the world again. Have we learned from the past year of COVID-19 and adapted our economy accordingly?
“In order for the U.S. economy to continue growing, whether there is another wave or not, the U.S. needs to focus on diversifying supply chains, supporting business investment, and maintaining consumer spending,” says Grace Feeley, a research analyst at M Capital Group.
While the economic indicators are positive, the risks are coming closer to manifesting and threatening such growth. The new variants spreading throughout the world, Delta, Lambda, and Gamma, are vaccine-resistant and muddy the predictions made about the economy and health of the country. These variants bring back the feeling of uncertainty that has wreaked havoc not only on the stock market but the mindset of people around the world. MCG provides unique insight on how to mitigate these risks to possibly ensure a bright economic future.
Falcon stands out as a top-tier P2P Invoice Discounting platform in India, bridging esteemed blue-chip companies and eager investors. Our goal is to transform the investment landscape in India by establishing a comprehensive destination for borrowers and investors with diverse profiles and needs, all while minimizing risk. What sets Falcon apart is the elimination of intermediaries such as commercial banks and depository institutions, allowing investors to enjoy higher yields.
What website can I sell pi coins securely.DOT TECH
Currently there are no website or exchange that allow buying or selling of pi coins..
But you can still easily sell pi coins, by reselling it to exchanges/crypto whales interested in holding thousands of pi coins before the mainnet launch.
Who is a pi merchant?
A pi merchant is someone who buys pi coins from miners and resell to these crypto whales and holders of pi..
This is because pi network is not doing any pre-sale. The only way exchanges can get pi is by buying from miners and pi merchants stands in between the miners and the exchanges.
How can I sell my pi coins?
Selling pi coins is really easy, but first you need to migrate to mainnet wallet before you can do that. I will leave the telegram contact of my personal pi merchant to trade with.
Tele-gram.
@Pi_vendor_247
Falcon stands out as a top-tier P2P Invoice Discounting platform in India, bridging esteemed blue-chip companies and eager investors. Our goal is to transform the investment landscape in India by establishing a comprehensive destination for borrowers and investors with diverse profiles and needs, all while minimizing risk. What sets Falcon apart is the elimination of intermediaries such as commercial banks and depository institutions, allowing investors to enjoy higher yields.
2. Introduction
• A former senior investment manager at JPMorgan Chase, Darin
Pastor draws upon years of financial experience to head Capstone
Affluent Strategies as CEO and principal. Complementing this role,
Darin Pastor maintains a Financial Industry Regulatory Authority
(FINRA) Series 7 license.
Brokers and other registered representatives must obtain a Series 7
license before they may engage in various securities transactions,
including those involving mutual funds and stocks. In order to
obtain this designation, financial professionals must first complete
the Series 7 examination, or General Securities Representative
Examination (GSRE). Professionals may not take this test until they
have obtained sponsorship from a member firm of FINRA.
3. FINRA Series 7
• During the Series 7 exam, participants demonstrate their
expertise in key securities competencies such as industry
regulations, annuities, and hedge funds. Held over the
course of six hours, the test features a total of 260 multiple-
choice questions, 10 of which do not contribute to the final
score. Participants must achieve a minimum score of 72
percent in order to pass and earn their Series 7 license.
The Series 7 exam is not only beneficial for those looking to
join the securities industry. Professionals must also pass the
exam if they wish to obtain other FINRA Series licenses.
Individuals who work at FINRA member companies must
also take the Series 7 exam before they can obtain their
own registration with the association.