How to maintain the licenses

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May 16, 2005 12:27 am

What is the way to keep the Series 7 license without working for a brokerage firm?  I heard there was a company the provided the service.  Does anyone know which company to contact?  I resigned from a brokerage firm recently but I would like to keep my license just in case if I want go back to the industry in the future.  


Any information is appreciated.  Thanks.

May 16, 2005 1:31 pm

I had the same question. I leeft my firm to go back to the mortgage industry, but I want to keep my licesne active in case something better comes along.


Any info other than the legal speak would be a great help

May 16, 2005 2:17 pm

Hey Bill:


My son is in college and I was thinking about having him take the Series 6 and 63 this summer so he can help with my mutual fund clients.  In September he would go back to school and would not work for me again until the following May.  In addition to assisting in the office, the licenses would make nice resume items.  Do you see any problem with this?



May 16, 2005 8:02 pm

If you think it's shady it probably is. Play by the rules.

May 18, 2005 9:42 am

All I am talking about is keeping my license up to date while I am working in a different industry, so I can go back to securities when I'm ready. I didn't want to get your your legal briefs in a wad.

May 18, 2005 10:12 am

Price, I believe what is being said is that if you're doing brain surgery, driving a garbage truck or anything outside of the securities industry, you can't hold a securities license.


If you don't like the answer, stop trying asking the question.  It doesn't look like the answer is going to change.

May 18, 2005 11:51 am
Philo Kvetch:

Price, I believe what is being said is that if you're doing brain surgery, driving a garbage truck or anything outside of the securities industry, you can't hold a securities license.


If you don't like the answer, stop trying asking the question.  It doesn't look like the answer is going to change.




appreciate the hostility!!!


I wasn't asking agian, I was apologizing to our attorny friend.

May 18, 2005 11:55 am

LOL....hostility?   You don't want to be around when it gets hostile here.

May 25, 2005 3:46 pm

hi price, i see no problem with keeping your license up to date. but better make sure your license will remain valid the moment the company finds out that you are involved in another.


for more questions and clarifications visit this site and try consulting an attorney just to make sure.


http://www.personalinjurdefenders.com/

May 31, 2005 12:58 pm

[quote=haryd]

hi price, i see no problem with keeping your license up to date. but better make sure your license will remain valid the moment the company finds out that you are involved in another.


for more questions and clarifications visit this site and try consulting an attorney just to make sure.


http://www.personalinjurdefenders.com/


haryd,


apprciate the info, I was just thinking in terms of CE credits, etc. Just in case i decided to dive back in. Thanks for the input!