Two parts of a securities exam that qualify someone to manage sales at a securities branch office are known as which exam?

• A. Series 6 Exam
• B. Series 7 Exam
• C. Series 9/10 Exam
• D. CFP (Certified Financial Planner)

Answer: (C)

Branch sales supervision is limited to those who hold a supervisory qualification that authorizes overseeing registered reps and branch activities. That role is provided by the Series 9/10 qualification, a two-part exam designed specifically for General Securities Sales Supervisors. Together, these exams certify the ability to manage a branch’s sales operations, ensure compliance with regulations, and supervise the activities of sales personnel (including options where applicable).

Other licenses don’t fit this supervisory function: Series 7 is for general securities representation and trading, not branch supervision; Series 6 covers selling mutual funds and variable products, not supervising a branch; and the CFP credential is a financial-planning designation, not a securities-branch licensing requirement.