CMA 5k Broker Dealer approved for 45 brokers and 8 lines of business – NYC

This was a very complex CMA filing for a 5k Broker Dealer in NYC that was approved as follows:

  • Hire 45 Associated persons and 2 offices;
  • Broker retailing corporate equity securites Over-the-Counter;
  • Broker or dealer selling corporate debt securities;
  • Mutual Fund Retailer;
  • U.S. Government securities broker;
  • Broker or dealer selling variable life insurance or annuities;
  • Investment advisory services;
  • Private placements;
  • Put and call broker or options writer.


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