License transfer time
May 6, 2009 10:53 pm
I’m looking for anyone who made a move with a closed complaint on their U-4 (with no money changing hands) that needed manual review.
Can anyone tell me their experience regarding the amount of time it took to get a release - a temporary license transfer to allow them to start calling clients? Specifically in NY, but in other states as well. If you could specify the state it would help. I know some states are more tough than others
May 9, 2009 12:53 pm
bump
PM me if you prefer
Jun 5, 2009 8:09 pm
Could take up to a week from what I’ve seen.
Jun 6, 2009 1:32 am
took me an hour and a half (for temp)
Source URL:https://www.wealthmanagement.com/forums/legal-issues/license-transfer-time