Hello Achievable Community,
Does anyone know if I can enroll in the SIE without my current employer (independent RIA) knowing?
I work for an RIA which only requires me to have the Series 65 as far securities licenses go. Thus, I do not have the Series 7.
My current employer has completely lost my trust due to some shenanigans over the last year. As a result, I am in the interview process with a well-known financial institution where I would need the Series 7. The interviewer encouraged me to go ahead and take the SIE, so I could signal to employers that I only need the Series 7 (and probably her as well… I landed a second interview).
However, when I went into my FINRA portal to schedule the exam, I received the following pop-up, “If you are associated with a broker-dealer or investment adviser, please consult with your firm before submitting an exam enrollment request. Your firm may be required to submit a Form U4 to request an exam on your behalf.”
Yes, I am associated with an investment advisor. No, I do not want to consult with them about taking the SIE. The whole point of taking the SIE is so I can leave.
Does anyone know if I am allowed to just schedule the exam without submitting a U4 from my employer while maintaining employment at my current firm?
Any direction on this would be greatly appreciated!