Outside business activity eligibility

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Jun 2, 2009 10:50 pm

can a registered rep who switches to independant broker status with current firm sell and service products part time if switching jobs? I am looking to take a position as a trading assistant with another finra member firm, but still want to service my old and some new clients as thier advisor

Jun 3, 2009 10:15 am
redsoxrep:

can a registered rep who switches to independant broker status with current firm sell and service products part time if switching jobs? I am looking to take a position as a trading assistant with another finra member firm, but still want to service my old and some new clients as thier advisor

 
You mean you want to take responsibility for people's futures as a hobby?
Jun 3, 2009 10:32 am

no that's not what i mean. I simply would still like to be a point of contact for my former clients if they have continuing insurance needs as a independant broker. i'm not looking to manage multi-million dollar portfolio's on my lunch break.   

Jun 3, 2009 10:37 am

Yes.  Just notify/get approval through your new firm.