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gman
08-11-2009, 08:00 PM
Hello All,
Not sure if anyone has ran into this but my wife has applied for a Broker Trainee program with Charles Schwab. Part of that program is for her to take and Series 7 and Series 63 exam. The HR manager told her that she qualifies but the only red flag is that she is on EAD and she doesn't have a greencard yet. My wife is on AOS status, has filed I-485 and has valid EAD. Her application is as a dependent of my primary employment based application. I looked online a bit but can't find FINRA official resources to confirm whether GC is required to take Series 7 or Series 63 exam. Any of you guys have been in similar situation? I take some of you may be in the financial industry.

Please advise and thank you for your help.

ashwin
08-11-2009, 10:40 PM
GC is not required for the Series 7/83 exams. I work in financial firm with and have seen many traders on H1B/L1A/L1B who have taken these exams.


Hello All,
Not sure if anyone has ran into this but my wife has applied for a Broker Trainee program with Charles Schwab. Part of that program is for her to take and Series 7 and Series 63 exam. The HR manager told her that she qualifies but the only red flag is that she is on EAD and she doesn't have a greencard yet. My wife is on AOS status, has filed I-485 and has valid EAD. Her application is as a dependent of my primary employment based application. I looked online a bit but can't find FINRA official resources to confirm whether GC is required to take Series 7 or Series 63 exam. Any of you guys have been in similar situation? I take some of you may be in the financial industry.

Please advise and thank you for your help.

smisachu
08-11-2009, 11:45 PM
Immigration status is not a concern for Series 7/63/54 etc. Plenty of traders are on H1.

Hello All,
Not sure if anyone has ran into this but my wife has applied for a Broker Trainee program with Charles Schwab. Part of that program is for her to take and Series 7 and Series 63 exam. The HR manager told her that she qualifies but the only red flag is that she is on EAD and she doesn't have a greencard yet. My wife is on AOS status, has filed I-485 and has valid EAD. Her application is as a dependent of my primary employment based application. I looked online a bit but can't find FINRA official resources to confirm whether GC is required to take Series 7 or Series 63 exam. Any of you guys have been in similar situation? I take some of you may be in the financial industry.

Please advise and thank you for your help.