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Vols1998 View Drop Down
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    Posted: Apr/01/2018 at 7:09pm
Hey everyone,

I'm a financial advisor at an RIA firm (~$300MM AUM) in Texas. I currently have my series 7, 66, life/health insurance licenses. I plan on pursuing the CFP this year then the CFA afterwards. My undergrad is in finance (corporate focus).

I'm still pretty new with a year of experience but work with about 150 clients on an existing book. However, I enjoy seeking new business so I cold call and focus on maintaining relations with prospects and current clients.

I'm wanting to join this community to learn more from others in our industry (and related roles).

One day, I'd like to run my own firm.
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missionshooter View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote missionshooter Quote  Post ReplyReply Direct Link To This Post Posted: Apr/01/2018 at 7:11pm
In before IAL
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D.H.K. View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote D.H.K. Quote  Post ReplyReply Direct Link To This Post Posted: Apr/01/2018 at 7:19pm
Welcome!

How can you be at an RIA firm and still have your Series 7?
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RIArules View Drop Down
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Post Options Post Options   Thanks (1) Thanks(1)   Quote RIArules Quote  Post ReplyReply Direct Link To This Post Posted: Apr/01/2018 at 7:26pm
Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


You can still “wharehouse” your 7 if there are still firms willing to do that. In the meantime, the combo between the 7/66 is his de facto 65.
We may "rob you slowly," but you're not going to see that shit.

Edward Jones Newb, Circa September 2016
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Vols1998 View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Vols1998 Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 3:01pm
Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


You can still “wharehouse” your 7 if there are still firms willing to do that. In the meantime, the combo between the 7/66 is his de facto 65.

That's my limited understanding of it. I was told the series 7 wasn't entirely necessary but the series 66 is basically a combo of the 63/65.

Technically, we're a hybrid RIA.
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MrGreen View Drop Down
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Post Options Post Options   Thanks (1) Thanks(1)   Quote MrGreen Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 3:15pm
Good luck.
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Iamlegend View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Iamlegend Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 4:51pm
Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


You can still “wharehouse” your 7 if there are still firms willing to do that. In the meantime, the combo between the 7/66 is his de facto 65.

At first glance I thought you wrote whore 🏡!
It would be warehouse.
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RIArules View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote RIArules Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 5:07pm
Originally posted by Iamlegend Iamlegend wrote:

Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


You can still “wharehouse” your 7 if there are still firms willing to do that. In the meantime, the combo between the 7/66 is his de facto 65.

At first glance I thought you wrote whore 🏡!
It would be warehouse.


Says the guy claiming I misspelled moustache.
We may "rob you slowly," but you're not going to see that shit.

Edward Jones Newb, Circa September 2016
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bc2051 View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote bc2051 Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 5:17pm
Originally posted by RIArules RIArules wrote:

Originally posted by Iamlegend Iamlegend wrote:

Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


You can still “wharehouse” your 7 if there are still firms willing to do that. In the meantime, the combo between the 7/66 is his de facto 65.

At first glance I thought you wrote whore 🏡!
It would be warehouse.


Says the guy claiming I misspelled moustache.


The guy with one doesn’t spell it like this. You make it look classy
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UserNamey View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote UserNamey Quote  Post ReplyReply Direct Link To This Post Posted: Apr/05/2018 at 2:02pm
Didn’t know about the ability to house your 7 anywhere for more than a couple years and stay RÍA. Is there a benefit to keeping it or is it just in case you wanna do commission business again?
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