Sponsored for 7 and have my own portfolio... Any problems?

1 reply [Last post]
klutz1001's picture
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Joined: 2011-11-04

Hey yall,I am sponsored and sit for my series 7 in a month.  I keep worrying about the fact that I have a little portfolio (under 10k) that I place a trade about 10 times a year in.  Will this cause any troubles now or after I am a rep?  Thanks and so glad I found this forum!

cbr1000's picture
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Joined: 2011-05-09

no it wont cause any problems. but you SHOULD have disclosed to your current firm any brokerage accounts you hold on your new hire paperwork

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