Michael Clayton, a client relationship specialist at Harford Financial Group, passed the Securities Industry Essentials Exam (also known as the SIE Exam), the first step toward obtaining a Series 7 license.
The SIE Exam is the first exam to help prepare those interested in pursuing the Series 7 license. The Series 7 license is offered by FINRA, a government-authorized not-for-profit organization that oversees broker-dealers in the United States. It is the professional license needed to work in the securities industry.
Holding the Series 7 license indicates that the recipient has the required knowledge regarding the industry including types of securities, regulations that must be followed and how to recommend securities. Upon receiving the Series 7 license, the recipient is required to complete continuing education to stay up to date with trends and regulations.
Clayton has been part of the Harford Financial Group team since joining the firm as an intern in 2019. He became a full-time employee after graduating from Towson University with a bachelor’s degree in economics in 2020.
“At Harford Financial Group, we are so proud of helping young people who want to join the financial services industry. Michael joined our firm when he was in college, and we were so impressed by his interest and knowledge in the industry,” said Adam Freeland, CFP(R), president of Harford Financial Group.”We are pleased he has passed the SIE Exam and look forward to the day when he will become a registered representative after receiving his Series 7 license.”
The advisors at Harford Financial Group specialize in retirement income planning in Harford, Cecil and Baltimore counties. Cambridge Investment Research Inc. is the firm’s broker-dealer. A relationship-driven firm with a fully registered, licensed and professionally trained staff, Harford Financial Group is focused on building long-term, trusted connections that span a lifetime. Services include assisting clients with current and future savings, investment allocation, pension income, retirement income planning, Social Security and estate planning. For more information, visit HarfordFinancialGroup.com.
Note: Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. Advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Harford Financial Group and Cambridge are not affiliated.