Sorry Rowan, I wasn't implying you or others in sales are stupid. Simply that you don't have to be a genius to be a great broker nor do most firms get all uptight about your academic record. I think a seven could help. Best of luck.
Series 7 Without working for a firm????
- Thread starter Rowan128
- Start date
Get a Series 65.... it is just as useless as the Series 7 if you think it gives you some sort of cred with investors 
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.Guess I need clarification then. I obtained my Series 7 and Series 66 licenses in 2002. I worked for a broker friend of a friend of the family to get the licenses to open up more opportunities in the field. I was under the impression those licenses were good for two years (i.e. 2004)after obtaining them no what happened after leaving the original firm. I realize mine have long since expired. I'm just asking this for future reference if I reobtain them aobut the two year window. Oh yeah and anyone who tells it's easy to have a firm sponsor to take it hasn't looked for jobs in today's job market. I could have had several trading jobs but not having active licenses excluded me from consideration. I'm extremely curious about this Quest Capital option.
Being able to trade profitably is the best way to market yourself. (Or having a fat client list, if you're a broker)
Build a track record, either way.
Build a track record, either way.
I got my Series 7 without any sponsorship.
I applied to become a US broker-dealer in 1998 and become a member of the NASD.
I live in Canada... and had ZERO US securities credentials.
The application process can take about 6 months...
So during this period the applicant who will be the General Securities Principal...
I had to do 3 exams in a certain order...
Series 7, Series 24, and Series 28.
Also had to do Series 55 a few years later.
The only one that was hard... is the Financial Principal Series 28.
The world is full of exemptions and loopholes... ya gotta be creative.
I applied to become a US broker-dealer in 1998 and become a member of the NASD.
I live in Canada... and had ZERO US securities credentials.
The application process can take about 6 months...
So during this period the applicant who will be the General Securities Principal...
I had to do 3 exams in a certain order...
Series 7, Series 24, and Series 28.
Also had to do Series 55 a few years later.
The only one that was hard... is the Financial Principal Series 28.
The world is full of exemptions and loopholes... ya gotta be creative.