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

[quote=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

[/quote]   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.