FINRA sponsorship of individual employed at non-member firm

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Mar 26, 2016 1:01 pm

Here's the situation: I work for a trust operations firm, not a broker-dealer. Owners of my firm also owned a broker-dealer and that firm was willing to sponsor me so that I was able to obtain my Series 7 and 63 licenses. The broker-dealer was acquired by another firm that is no longer willing to honor my sponsorship since I am not employed by that firm and has terminated my registration. I have a little less than two years to find sponsorship or I will lose my licenses. Although I am not using my licenses currently, I would like to keep them in case I need them down the line and not have to retake the exams. Are there any ways to obtain sponsorship without having to leave my current employer and start working for a member firm? Thanks for any information you can provide.