Performance Series
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I want to trade other people's accounts for a fee based upon my performance. Do I need a Series 7 for that?
People are offering to have me trade their accounts and are willing to give me 20% of all gains. Can I do that without taking the Series 7?
If you want to do it legally, you do have to have a Series 7.
Technically, you would be a broker, self-regulated by the NASD and overseen by the SEC. NASD requires that brokers and its registered representatives pass the Series 7. You've probably already found out that you need to be sponsored by a NASD firm in order to sit for the exam.
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