Would this be legal?
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Jun 18, 2020 12:43 am
Hello ladies and gents,
I work for an IRA, have my 66 and a CFP. I was offered to do some consulting - read - build financial plans for another advisor. I have the time and wouldnt mind to take on some project work, but I am not aware if I am legally allowed to do so without violating some rules. It would essentially be Independent contract work I would do over weekends or after work.
Could anyone shed some light on this please?
I believe you meant that you work for a RIA. You should consult the Chief Compliance Officer for guidance.