Q121 - Do I Have To Drop My Series 7 If I Go RIA?

Transition To RIA Podcast · Mar 13, 2025 · 20m

You studied for months to take the Series 7.

You anxiously sat through the multi-hour test. Perhaps with your livelihood on the line.

You finished the test and nervously awaited the result.

You passed!

Years, if not decades have now since past.

You’re considering transitioning your practice to the RIA model, but don’t want to “lose” the 7 you worked so hard for all those years ago.

But do you have to?

In this episode of the Transition To RIA question & answer series I explain if you must drop your 7 to go RIA.

Come take a listen!

P.S. Prefer video? You can find this entire series in video…