Series 63 & 55 without being sponsored

Discussion in 'Professional Trading' started by JustStarted, Apr 18, 2003.

  1. Does anyone know if you can register for Series 63 and 55 without being sponsored by any firm? This would apply to NY state

    thanks in advance
  2. Ebo


    A firm must sponsor you.
  3. YUP
  4. The Series 63 can be taken "independently", without a sponsor.

    The Series 7 & 55 do in fact require a sponsor, ie: Member Firm
  5. rogue traders without sponsors face a barage of questions about them, character and background, that you're not allowed to answer...

    get a sponsor, and just do things the normal way....

    when compliance officers start asking questions, just about no one comes out smelling attractive....
  6. small


    You need to contact the NY state securities board. The rules vary by state, and depend upon your specific situation.