Hello....Again
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Category: Introductions
Forum Name: Greenhorn Introductions
Forum Description: MAKE YOUR FIRST POST HERE!
URL: http://www.advisorheads.com/forum_posts.asp?TID=20804
Printed Date: Mar/26/2026 at 7:23pm
Software Version: Web Wiz Forums 12.03 - http://www.webwizforums.com
Topic: Hello....Again
Posted By: Mel2024
Subject: Hello....Again
Date Posted: Jan/11/2024 at 10:38am
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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?
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Replies:
Posted By: B24
Date Posted: Jan/11/2024 at 10:56am
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To work as an IAR (in a sales role at an RIA), I believe you would need your 65. |
Posted By: missionshooter
Date Posted: Jan/11/2024 at 4:26pm
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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. |
Posted By: Mel2024
Date Posted: Jan/11/2024 at 8:32pm
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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!
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Posted By: RIArules
Date 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 |
B24 wrote:Posted By: whalehunter
Date Posted: Jan/11/2024 at 10:49pm
| I thought it was 63 + 66 = 65 |
Posted By: RIArules
Date 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 |
Posted By: advisorman
Date Posted: Jan/12/2024 at 12:35pm
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It’s 63+66=129 ------------- King of sarcasm and speling |
Posted By: luvindy
Date 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, |
Posted By: Spaceman Spiff
Date Posted: Jan/12/2024 at 12:40pm
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Posted By: freebird
Date Posted: Jan/13/2024 at 12:52am
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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
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Posted By: whalehunter
Date Posted: Jan/13/2024 at 7:35am
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freebird was on one last night it appears... Letting out all that Jones post partum aggression.
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Posted By: Mel2024
Date Posted: Jan/16/2024 at 11:28am
| Figured! Always need to research and stay current! |
Posted By: missionshooter
Date Posted: Jan/16/2024 at 11:41am
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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. |