{ "media_type": "text", "post_content": "My Series 7 just expired. Any suggestions on the best approach to getting an extension or waiver while I move from issuer to broker dealer?", "post_id": "5e7274735dc8b800279cedc1", "reply_count": 3, "vote_count": 3, "bowl_id": "599feb177c057d0010be0554", "bowl_name": "Financial Advisors", "feed_type": "bowl" }

My Series 7 just expired. Any suggestions on the best approach to getting an extension or waiver while I move from issuer to broker dealer?

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You have 2 years after the license expires to sign up with a new broker before you have to retake the test. Find a BD that will let you put your license with them and just work part time with them to avoid parking your license. You can always change to another BD later.


Mention Corona

Call FINRA or your state’s securities department to see if you can get a waiver. That’s what I did after my 65 expired and I later joined a firm requiring the 65. Easy process. If you remained in the industry they’ll probably be lenient. If you left the industry to sell cars then returned a few years later, not so much.

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