Hello, I was recently let go from my firm for not being able to pass the series 10 exam. I passed the 9 and have my SIE, 7, and 63. Are there any jobs out there that require the 9 but not the 10? All the jobs I can find require them both but I’d like to use my 9. Thanks for any advice!

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Just out of curiosity, ho many attempts did they allow you to make? My last manager didn’t pass first two attempts but the higher ups were confident he would pass the 3rd attempt and so proMoted him to manager from team lead without having the 10 in good faith he would pass the 3rd time and he did. I thought that was strange because from a regulatory standpoint point having someone supervise direct reports without adequate licensing might expose the firm to risk. And I’m not sure why they were so certain he would pass the 3rd time when he had failed the first two. I wonder if he failed the third time he would of been let go…? I did not see why, why wouldn’t they just put you back in the role you were doing before pursuing the 9/10?

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They were super generous and gave me three, ya FINRA let’s you work in a 9/10 capacity for 120 days while preparing for the exams. But then if you can’t pass them you’re no longer able to perform the role.

SIE, 7 and 63 are all you need for any advisor role. What type of role are you looking for?

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It is rough but it’s totally worth it. The flexibility and income it’s provided for my family is second to none

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Hi there! I am a licensed financial professional and do not have either 9 or 10. You can easily make 6 figures without them.

9 and 10 are for supervisor roles. You need both. CFP is not really sales, it’s financial planning. You can get a decent paying salaried role now with a CFP because it’s highly in demand. A lot of work though, but i’m happy I got it.

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