Dropping A B/D License Without Dropping Current B/D Platform
CFO News Room
NOVEMBER 15, 2022
And the reason that I liked that one, because I’ve sold very few VAs in my career, but I could do the math on how that rider worked on a piece of legal paper and my calculator. He had given his FINRA licenses up before he joined our firm. Our compliance consultant, she’s one of my favorites.
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