Where Can I Check the Status of a Securities License? California

[xcslx]

Hey guys,

My mom has her Series 6&63 in California, where can I check status of it online?

Thanks!

 

[djs]

Re: Where Can I Check the Status of a Securities License? Califor

Go to the source: Finra
FINRA BrokerCheck Terms & Conditions

Doesn't matter what state it is in.

Dan

 

[xcslx]

Re: Where Can I Check the Status of a Securities License? Califor

Thank you Dan!

I am guessing her license has lapsed as she hasnt been appointed with a company in almost 3 yrs. Will she have to retake her exam if she wants her 6&63 again?

 

[nycagent]

Re: Where Can I Check the Status of a Securities License? Califor

Unfortunately, yes - the allowable absence is 2yrs.