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Aug 17, 2010 7:13 am


I just left my firm after three years. So I have two years to get with another registered agency or broker dealer in order to keep my series 7. I also have financial advisory license, series 66. Simply what happened was after the first year I didn't have enough to create "book of business". I ended up in a retail national call center type effort where I was not allowed to build local business or bring in new clients. However there was a tremendous amount of administrative learning, sales learning, and portfolio construction, that went along with that. that is good.

One of my interests is with the many accredited investors that I met in my "off" time and offering private investments to them with the many business persons I've met looking to expand or create the business from investing to small manufacturing.

Any help you can give concerning how to best handle this time legally is much appreciated.