Registration of RIA
Mar 30, 2017 11:29 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?
Source URL:https://www.wealthmanagement.com/forums/rias-independents/registration-of-ria