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 it’s based on what your assets under management are, your number of accounts. And we also converted a fair number of non-managed accounts to manage when we made this transition.
130 
Let's personalize your content