Open Series 7 sponsorship window then leaving firm

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May 20, 2018 4:32 pm

Hello everyone hope you are all doing well.

I have to leave my current firm for a short time for some personal reasons and will be taking about 2 to 3 months off to recover.

My firm has offered to open up my sponsorship window to take my series 7 but I will have to leave before I actually sit down to take the test. I have already passed my 6 and 63

My question is can I still take the test in a month if I am not with the firm that opened my window/sponsorship?

If I can take the test, do I just present my passing test to my new firm when I come back to the workforce? Thank you everyone in advance.

Aug 9, 2018 12:45 am

You have 2 years from the date you leave the firm to keep your licenses valid, including your 6/63. After october, the series 7 will be split in 2 parts, and you already qualify for the first part with your series 6, so, if you wait, after october, the test will cover less material than now, you will only need to take the second part. http://www.finra.org/industry/series7