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Jan 17, 2006 9:54 pm

 Is it possible for a registered individual to NOT be listed on the broker check and still be active??



Jan 17, 2006 10:18 pm
investorforus:

 Is it possible for a registered individual to NOT be listed on the broker check and still be active??





I don't think so, but there are others who post on here that know more....

Jan 18, 2006 9:34 am

RIAs, I believe.  Could be wrong, though.  Probably am.  Who knows.

Jan 18, 2006 10:11 am
BrokerRecruit:

RIAs, I believe.  Could be wrong, though.  Probably am.  Who knows.


Yes but then they are no longer a 'registered individual' as most folks define it......if you are registered with the NASD you should appear on BrokerCheck, subject to practical limitations such as how long it takes them to update their records....