Does resigning from a B/D firm tarnish a newly registered RIA's career opportunites?
Jan 31, 2013 11:25 pm
I have recently completed my S7 & S66. I have paid my FINRA fees and have I have been approved. The fees at the Broker/Dealer firm I am registered are high and they are focused to Insurance and Annuites. I would like to be with a full wirehouse and even possibly get into a training program that has a base salary or draw as I ramp up. Will having a U5 hurt my chances getting on with a good wealth management firm?