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. He had given his FINRA licenses up before he joined our firm. Because, understandably, compliance wants you to live in the CRM system that they can do their compliance oversight on.
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