Series 7 license question

Discussion in 'Professional Trading' started by Warrior4g, Mar 21, 2008.

  1. is it true that when taking the series 7 the sec looks to see if you are involved with another business? for example,i have a small company in the wholesale clothing industry. will i now be opened up for more irs inquiries ect...?
  2. anyone?
  3. 2ez


    The Compliance area at my job coordinates all that. I think it is more for the NASD/FINRA...but i could be wrong. But i do know a U4 has to be filled out.