If I'm no longer with a firm but my licenses (6, 63, Life) are still valid, can I open my own brokerage account and trade?

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Yes, you can open a personal brokerage account and trade securities even if you're not currently affiliated with a broker firm. Having a Series 6 and Series 63 license allows you to engage in certain securities activities, and opening a personal brokerage account for trading is within those activities. Make sure to adhere to all regulations and guidelines governing securities trading. Take in consideration that FINRA mandates that you report your brokerage account to your new employer, as long as your employer is a broker and you’re using your licenses in the new role.

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