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 then in July 1 of this year, we launched our own registered investment advisor. He had given his FINRA licenses up before he joined our firm. Stacey: It’s an interesting story.
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