How do I go independent if I am fully licensed to trade/buy/sell investments for clients?
Posted by admin on 16 Sep 2008 9:37 pm. Filed under Investing.
Miss Yahoo asked:
I have a Series 7 & Series 66 & the Life/Disability License. I am currently registered and employed at Morgan Stanley and have been working there for about 5 years. I have a good book of business and would like to start my own business, as a financial advisor.
I have a Series 7 & Series 66 & the Life/Disability License. I am currently registered and employed at Morgan Stanley and have been working there for about 5 years. I have a good book of business and would like to start my own business, as a financial advisor.
How do i go independent and start my own business? Who will then hold my licenses? I always thought I had to be registered with a firm, which registers me w/ the NASD. Is there an exam out of all the Series exam i must pass to go independent?