Series 7: 14.5.2 Transfer And Hold

Taken from our Series 7 Top-off Online Guide

14.5.2 Transfer and Hold

The transfer and hold option is for those who wish to have the certificates in their own names but do not want the responsibility of holding them. The securities will be registered in the customer’s name but held for safekeeping by his brokerage firm. The broker-dealer may charge a fee for providing the service.

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