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Mel2024 View Drop Down
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    Posted: 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?  
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B24 View Drop Down
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Points: 28776 		Post Options Post Options   Thanks (0) Thanks(0)   Quote B24 Quote  Post ReplyReply Direct Link To This Post 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.
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missionshooter View Drop Down
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Points: 6334 		Post Options Post Options   Thanks (0) Thanks(0)   Quote missionshooter Quote  Post ReplyReply Direct Link To This Post 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.

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Mel2024 View Drop Down
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Points: 4 		Post Options Post Options   Thanks (0) Thanks(0)   Quote Mel2024 Quote  Post ReplyReply Direct Link To This Post 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!
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RIArules View Drop Down
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Points: 49907 		Post Options Post Options   Thanks (0) Thanks(0)   Quote RIArules Quote  Post ReplyReply Direct Link To This Post Posted: Jan/11/2024 at 9:46pm
Originally posted by B24 B24 wrote:

To work as an IAR (in a sales role at an RIA), I believe you would need your 65.





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
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whalehunter View Drop Down
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I thought it was 63 + 66 = 65
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RIArules View Drop Down
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Points: 49907 		Post Options Post Options   Thanks (0) Thanks(0)   Quote RIArules Quote  Post ReplyReply Direct Link To This Post Posted: Jan/12/2024 at 2:46am
Originally posted by indysomeday indysomeday wrote:

I thought it was 63 + 66 = 65

Nope, at least according to my state securities board at the time.
“We are all Antifa” - Hacksaw 9/12/2025
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advisorman View Drop Down
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It’s 63+66=129
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luvindy View Drop Down
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Originally posted by advisorman advisorman wrote:

It’s 63+66=129

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."
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Spaceman Spiff View Drop Down
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Originally posted by Mel2024 Mel2024 wrote:

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!
Competitive fees, build a portfolio however you want, door to door is a thing of the past unless you want to do it.  What you know about Jones from here or from knowledge of 10 years ago is wrong these days.  
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freebird View Drop Down
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Points: 13700 		Post Options Post Options   Thanks (0) Thanks(0)   Quote freebird Quote  Post ReplyReply Direct Link To This Post 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 
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whalehunter View Drop Down
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Points: 3635 		Post Options Post Options   Thanks (0) Thanks(0)   Quote whalehunter Quote  Post ReplyReply Direct Link To This Post 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
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Mel2024 View Drop Down
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Points: 4 		Post Options Post Options   Thanks (0) Thanks(0)   Quote Mel2024 Quote  Post ReplyReply Direct Link To This Post Posted: Jan/16/2024 at 11:28am
Figured!  Always need to research and stay current!
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missionshooter View Drop Down
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Points: 6334 		Post Options Post Options   Thanks (0) Thanks(0)   Quote missionshooter Quote  Post ReplyReply Direct Link To This Post 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.

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