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- #11
I agree 100% with you now, and have already requested the copy of contract from NB (I signed electronically and didn't have the copy of it). I did Firm element last year, and a few this year.
My Series 6 is good through next year (I passed it in April 2009). I'm looking for a BD who can register me, without me paying anything or paying a little. Can you PM me, if you know any or the one you're registered with?
Currently I'm so worroed about how to get out of this mess of $4k invoice.
My Series 6 is good through next year (I passed it in April 2009). I'm looking for a BD who can register me, without me paying anything or paying a little. Can you PM me, if you know any or the one you're registered with?
Currently I'm so worroed about how to get out of this mess of $4k invoice.
Starting from this point forward and I mean RIGHT NOW make a folder in a filing cabinet for your contracts. Second you need to start reading these things. I would contact your old B/D and ask nicely for a copy of your contract there might even be more things in there affecting your ability to sell products. You should review your contract periodically and especially before you decide to resign in the future so that you know what your responsibilties are.
Since you mentioned you purchased E&O that does not cover Securities I hope you are aware of how and when your series 6 will expire...Typically you can not go more than 2 years without being associated with a B/D before you will be required to retest if you want back into the industry...However my understanding is that if you miss Reg Element your Series 6 will expire even before the 2 years are up...You need to do Reg Element 2 years after you first pass your exam and then every 3 years there after.