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 so, what we did, and I guess the advantage of being with a broker-dealer is those are now Commonwealth house accounts. They’re just handling the existing house accounts that are there.
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