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.
Congratulations!