Registration of RIA

or Register to post new content in the forum

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Mar 30, 2017 7:29 pm

I have a friend, he did not have any security license but wanted to form a RIA firm. He ask me if he could use my series 65 to form this firm. I did not to violate Finra regulations so what do you think about this?