muscleman Posted July 21, 2015 Share Posted July 21, 2015 I tried to create an account. It asked me for the FINRA ID, which I don't know how to get. Has anyone taken the exam? Can you please tell me where to get that ID? Link to comment Share on other sites More sharing options...
jawn619 Posted July 21, 2015 Share Posted July 21, 2015 I have. For the Series exams, I believe you need a firm to sponsor you. Link to comment Share on other sites More sharing options...
racemize Posted July 21, 2015 Share Posted July 21, 2015 I forget what you do here, but you don't have to have it. Maybe just leave it blank? Can't remember. Link to comment Share on other sites More sharing options...
JBird Posted July 21, 2015 Share Posted July 21, 2015 I've taken the 7, 63, and in process of taking the 66. As a prospective investment advisor representative, you must be operating under an Investment Advisor (IA). They'll give you the ID #. The exception to this is if you are the IA. If that's so, you'll be filing Form ADV with either the SEC or one or more states. If that's the case you probably wouldn't be asking the question. Feel free to PM me. Link to comment Share on other sites More sharing options...
tede02 Posted July 21, 2015 Share Posted July 21, 2015 Is the FINRA number the same as your CRD # (central registration depository)? If it is, type your name into broker check at http://brokercheck.finra.org/. This will give you your number. I personally hold the series 7 and 66. Can't help you on the 65 unfortunately. Link to comment Share on other sites More sharing options...
muscleman Posted July 21, 2015 Author Share Posted July 21, 2015 Is the FINRA number the same as your CRD # (central registration depository)? If it is, type your name into broker check at http://brokercheck.finra.org/. This will give you your number. I personally hold the series 7 and 66. Can't help you on the 65 unfortunately. Yes. On FINRA's website it is asking for this CRD #. I will be the IA myself, so it sounds like I need to establish my firm first to get the CRD # before I can take the series 65 exam? Link to comment Share on other sites More sharing options...
GregS Posted July 21, 2015 Share Posted July 21, 2015 Is the FINRA number the same as your CRD # (central registration depository)? If it is, type your name into broker check at http://brokercheck.finra.org/. This will give you your number. I personally hold the series 7 and 66. Can't help you on the 65 unfortunately. Yes. On FINRA's website it is asking for this CRD #. I will be the IA myself, so it sounds like I need to establish my firm first to get the CRD # before I can take the series 65 exam? I don't think that's right. I think you file Form U-10 if you are not currently with a firm. It asks for firm information but it is not required. Link to comment Share on other sites More sharing options...
GregS Posted July 28, 2015 Share Posted July 28, 2015 Ok, I just registered and scheduled the exam. Fill out the U-10 first (you have to register an account but you don't need a CRD). Leave the section on firm information blank. They will get back to you about a day later with an enrollment window and an ID number. When you go to schedule the exam, use that ID number to register your account (yes, you have to register again and provide the ID number) and then schedule your test. I've seen a lot of confusion on this point, but you do not need to be sponsored by a firm to take the series 65. Series 7 and possibly others yes, but not the 65. After passing the exam you have two years to get you and your firm registered/licensed. Link to comment Share on other sites More sharing options...
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