Series 27

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Series 27

A license allowing one to become the chief financial officer at a FINRA member firm. One must complete a Series 27 exam in order to obtain the license.

2. The exam required to obtain a Series 27 license. It consists of 145 multiple choice questions; topics covered in the exam include balance sheets, net capital rules, regulations of the SEC and FINRA, and book keeping.
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She is a member of the Institute of Chartered Accountants in England and Wales (equivalent to a Certified Public Accountant) and holds a FINRA Series 27 license.
He holds a NASD Series 27 license, and earned a bachelor of science degree in accounting from Manhattan College.
Terk earned his series 27 license and served as the company's Financial Operations Principal.