CMA – 5k Broker Dealer Approved for 15 Reps and 9 lines of Business – Long Island, NY

Had this broker dealer approved for 15 reps and nine lines of business in Long Island, NY as follows:

  • Hire 15 Associated persons;
  • Broker retailing corporate securities;
  • Broker retailing corporate debt securities;
  • Non exchange member arranging for transactions in listed securities by an exchange member;
  • Mutual Fund Retailer;
  • Municipal securities broker;
  • Broker or dealer selling variable life insurance or annuities;
  • Put and call broker;
  • Private placements;
  • Mergers and acquisition advisory services.


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