Leeward College

Do I need any certificates or licenses to conduct NASD Series 7 and 66 training courses?

I have Series 7 and Series 66 Investment Licenses. I am thinking to conduct Series 7 and Series 66 training courses for Profit in CA. What kinds of certificates or licenses do I need to get in order to have seminars for Profit in CA? Thank you very much!

Public Comments

1. You are going to have to get written permission from your Series 24 Compliance officer to do this as an outside activity. If you work for a major firm, they will say no. If you work for an independent shop, you'll still need compliance approval, and it would help to have your Series 24. You will also need a business license. Be sure not to use any copyrighted materials in your seminar without the owner's written consent. Your firm will want a copy of your materials before you start. Good Luck!