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Random_Walk 
Greenhorns 
Joined: Dec/20/2010 Status: Offline Points: 45 |
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 Topic: First PostPosted: Dec/20/2010 at 9:28am |
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Greetings,
I was referred here from the Registered Rep forum by CALI123
I have series 7, 24, 63 L/H and CFP. I work in an independent advisors office (Commonwealth Financial is B/D)
I am looking to learn !
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Posted: Dec/20/2010 at 9:30am |
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Nice. Welcome aboard!
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Posted: Dec/20/2010 at 11:17am |
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Welcome aboard Indy RIA....
Are you in a state that exempts you from the 66/65 if you're a CFP?
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Random_Walk
Greenhorns
Joined: Dec/20/2010 Status: Offline Points: 45 |
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Posted: Dec/20/2010 at 1:35pm |
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Thanks,
I still have to take my Series 65 (I have all the study material)- I currently work at an independent firm but would like to start my own RIA if I can make it work....
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Wet_Blanket
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Team America (not iMo) Joined: Mar/10/2010 Location: New England Status: Offline Points: 46820 |
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Posted: Dec/20/2010 at 1:46pm |
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How long have you been in the biz?
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RIArules
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Posted: Dec/20/2010 at 2:00pm |
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That kinda sucks. I guess since you have the 63 and not the 66 you are stuck.
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“We are all Antifa” - Hacksaw 9/12/2025
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Posted: Dec/20/2010 at 2:58pm |
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No, you should indeed get the 66 instead of the 65. It will overlap with your 63, but it's still way easier, and way less material than the S65.
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Random_Walk
Greenhorns
Joined: Dec/20/2010 Status: Offline Points: 45 |
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Posted: Dec/20/2010 at 3:20pm |
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Thanks for the feedback. I like this board already!
I will check with my state and see if the CFP can count - My B/D website says it will count but before I make any moves or take the test I am goign to confirm with the state
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eggward
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Joined: Mar/11/2010 Status: Offline Points: 3126 |
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Posted: Dec/21/2010 at 8:33am |
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I exempted the one of those two, I think it was the 66, because I had a CFP. Its certainly worth asking.
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Indyone
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Joined: Mar/10/2010 Location: Rural Midwest Status: Offline Points: 3667 |
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Posted: Dec/22/2010 at 4:12pm |
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Welcome aboard IRIA...
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"Independence is like the Berlin Wall. People are only jumping in one direction." - Philip Palaveev - November 2005. "You are never free...unless you are independent..." - Indyone - May 2005.
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