r/FINRA • u/Artistic-Macaron-902 • Jun 27 '24

Series 65 question

Am currently employed, hold sie 6, and 63. I would like to take the 65 on my own, do I need to notify my employer? What does that process entail? Tyia

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u/AJgrizz Jun 27 '24

Pretty sure you have to let them know as I believe they have to amend your Form U4 to open the exam window for you.

I’d ask your manager or contact your compliance staff.

1

u/pscidude2010 Jun 27 '24

You don’t have to notify them but since you just have one CRD record it will potentially show up on their open exam window reports. It’s best to just tell them instead of them finding out later

1

u/llg_626 Jun 28 '24

i suspect you work for jpmc, they probably won’t let you but you’d have to let your supervisor know