|
Hello....Again |
Post Reply 
|
| Author | |
Mel2024 
Rookie 
Joined: Jan/11/2024 Location: Florida Status: Offline Points: 4 |
 Post Options
 Thanks(0)
 Quote Reply
 Topic: Hello....AgainPosted: Jan/11/2024 at 10:38am |
|
Was on the forum years ago....successfully moved from a wire house to Schwab thanks to advice I received on this forum. Haven't worked for the past 2 years (maintaining Series 7 & 66 with MQP at FINRA) Here's my question:
Looking at working in a sales role with an RIA. My understanding is no need for Series 7 and 66. Maintain through the program for another 3 years?
|
|
 |
|
|
B24
Moderator 
Joined: Mar/09/2010 Status: Offline Points: 28776 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/11/2024 at 10:56am |
|
To work as an IAR (in a sales role at an RIA), I believe you would need your 65.
|
|
|
|
|
missionshooter
Senior Member 
Joined: Feb/12/2014 Status: Offline Points: 6334 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/11/2024 at 4:26pm |
|
Have you considered Edward Jones?
|
|
|
Our purpose is to partner for a positive impact- to improve the lives of our clients and colleagues, and together, better our communities and society.
|
|
|
|
|
Mel2024
Rookie
Joined: Jan/11/2024 Location: Florida Status: Offline Points: 4 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/11/2024 at 8:32pm |
|
Hi,
I have...my understanding though is high fees, mutual fund portfolios proprietary, walking door to door...if it's any different, let me know. Thank you!
|
|
|
|
|
RIArules
Platinum Member
Trump Ball-Licker Joined: Mar/15/2010 Status: Offline Points: 49906 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/11/2024 at 9:46pm |
You used to be able to combine the 7/66 into the requirements in lieu of the 65. Did that change?
|
|
|
“We are all Antifa” - Hacksaw 9/12/2025
|
|
|
|
|
whalehunter
Senior Member
Joined: Dec/18/2011 Status: Offline Points: 3635 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/11/2024 at 10:49pm |
|
I thought it was 63 + 66 = 65
|
|
|
|
|
RIArules
Platinum Member
Trump Ball-Licker Joined: Mar/15/2010 Status: Offline Points: 49906 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/12/2024 at 2:46am |
Nope, at least according to my state securities board at the time.
|
|
|
“We are all Antifa” - Hacksaw 9/12/2025
|
|
|
|
|
advisorman
Senior Member
Joined: Oct/22/2011 Location: Behind you Status: Offline Points: 4305 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/12/2024 at 12:35pm |
|
It’s 63+66=129
|
|
|
King of sarcasm and speling
|
|
|
|
|
luvindy
Moderator
Joined: May/17/2010 Status: Offline Points: 28221 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/12/2024 at 12:38pm |
Nice
|
|
|
8/31/12,Sportsfreak:
"If Barak wins this election, or appears to be clearly winning, we are all fucked. Market will tank big time." Dow 13,090 S&P 1406 5/23/13 UC:Dow 20k before 20% crrectn Dow 15, |
|
|
|
|
Spaceman Spiff
Gold Member 
Joined: Mar/11/2010 Status: Offline Points: 10979 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/12/2024 at 12:40pm |
|
|
|
|
|
freebird
Gold Member
Joined: Sep/17/2021 Location: deep south Status: Offline Points: 13700 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/13/2024 at 12:52am |
|
Mel -those were the good ole days. It’s changed to a company that is 20 years behind the times instead of the normal 10, because they are focused on being I finger my own asshole sometimes and social justice issues. It’s still a good place to start for 2 reasons. You don’t have many options and they’ll give you assets and claim you’re an experienced advisor with a lot of experience and release the hire to investment news.
The fees are not high considering you’ll be helping the manager at the local 7-11. No one else wants him so 1.40 seems fair. There’s more flexibility on building portfolios, but it’s certainly not however you want unless you have a first year thrivent education
|
|
|
|
|
whalehunter
Senior Member
Joined: Dec/18/2011 Status: Offline Points: 3635 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/13/2024 at 7:35am |
|
freebird was on one last night it appears...
Letting out all that Jones post partum aggression.
Edited by indysomeday - Jan/13/2024 at 7:35am |
|
|
|
|
Mel2024
Rookie
Joined: Jan/11/2024 Location: Florida Status: Offline Points: 4 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/16/2024 at 11:28am |
|
Figured! Always need to research and stay current!
|
|
|
|
|
missionshooter
Senior Member
Joined: Feb/12/2014 Status: Offline Points: 6334 |
Post Options
Thanks(0)
Quote Reply
Posted: Jan/16/2024 at 11:41am |
|
Ed Jones will offer you support and a household name that needs no explanation. It's a name that comes with credibility and trust. Give us a shot, it will change your life forever if you are willing to roll up your sleeves and get to work.
Oh and if you like vacations to the finest destinations in the world, our trips will surely impress you.
|
|
|
Our purpose is to partner for a positive impact- to improve the lives of our clients and colleagues, and together, better our communities and society.
|
|
|
|
|
Post Reply
|
|
Tweet
|
| Forum Jump | Forum Permissions You cannot post new topics in this forum You cannot reply to topics in this forum You cannot delete your posts in this forum You cannot edit your posts in this forum You cannot create polls in this forum You cannot vote in polls in this forum |
Topic Options
B24 wrote: