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Feb 22, 2010 11:41 pm


Question: I want to become an RIA. I have a series 7 which is currently "active" with a B/D. I plan to take series 66 exam. If I pass the 66 and then resign from B/D, thereby "deactivating" my 7, will I need to reactivate my 7 elsewhere? Point being: In order to be an RIA, do I just need to have passed the 66 & 7 at some point previously or must the 7 be "active"? What about: if I quit the b/d and am not registered with another b/d for over 2 years? Must I then retake the 7 to maintain my RIA status? Thanks
Feb 23, 2010 12:59 am

What if I was on Mars, would I need to resign before coming to Earth or can I come to earth and then resign.

  I am pretty sure you only need a 66 for a RIA(don't quote me), so you can resign from your bd and start a ria.
Feb 23, 2010 1:06 am

You need the 7 and 66 to initially register.  After that, drop the 7.

Feb 23, 2010 5:51 am

Many Thanks (Moraen)!!

Feb 23, 2010 7:59 am

It’s been awhile since I looked at it, but my recollection is that the 66 will not work without the 7.  To do a stanalone RIA, you need a 65.  If that’s wrong, I’ll stand corrected, but that’s how I remember it.

Feb 23, 2010 9:19 pm

OK, I’ll stand corrected.  Probably won’t be the last time.