Is it possible to sponsor myself for Series 7 by filing a form BD?

Discussion in 'Retail Brokers' started by thefreeman, Nov 28, 2024.

  1. I am wondering if it's possible to register a new company, file Form BD (for a California-based broker-dealer aiming to outsource principal (24) and clearing (27) work), and while the form status is pending, sponsor myself or someone else for FINRA licenses like the Series 7.
     
  2. newwurldmn

    newwurldmn

    Why would you want to do this?
     
    spy likes this.
  3. MarkBrown

    MarkBrown

    don't think that will work - don't think you think it will work either lol
     
  4. spy

    spy

    To say you have a series 7 at cocktail parties! Duh... you never think about these things very much, do you nwm?

    bundy-money.gif
     
  5. newwurldmn

    newwurldmn

    it's definitely something to be proud of.
     
    spy likes this.