Dropping A B/D License Without Dropping Current B/D Platform
CFO News Room
NOVEMBER 15, 2022
I think the biggest thing that started it was when we would have our branch audits, we never had any feedback about something on the RIA side. And that is a very simple, it’s easy to communicate, and it’s very clear. Author: Michael Kitces. Team Kitces. Why Stacey Decided To Drop Her Broker-Dealer License [05:41].
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