Working full time at RIA while having licenses elsewhere
Apr 2, 2012 6:42 pm
i work full time on the trading desk at an RIA which divested itself of it's bd a year ago...i don't want to loose my licenses.....can i work for a prop firm day trading while being employed full time by a seperate and distinct RIA firm?
Apr 14, 2012 2:39 pm
Both the RIA and broker-dealer have to approve your dual-registration/association but most BDs prefer not to do so. Also, some states don't permit dual-registration.