After filing U4 but before taking 79/63, am I still able to work?

I'm at a small firm and don't have my licenses yet but they already have me working. I have the materials and am studying for the 79 and 63, and will soon be submitting my U4. Am I permitted to work while I'm studying to take the exam?

I'm pretty sure I am but can't find any information online about how this part of the process works. Thanks!

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Comments (2)

Oct 21, 2017

not sure about these specific licenses. But allot of the time you can do allot of the "side work" of whatever the job function is. A financial adviser is what I'm thinking of in this example.

"The only thing I know is that I know nothing, and i am no quite sure that i know that." Socrates

Oct 21, 2017

Why get your own coffee when you can get an intern to do it for you?