CMA – 5k Broker Dealer NYC

Had this great 5k Broker Dealer in New York City approved on a 1017 application for 70 Registered Representatives and 5 offices as follows:

> Ability to hire 70 Registered Representatives;
> 5 offices;
> Stocks;
> Corporate bonds;
> Government bonds;
> Variable life insurance and annuities;
> Mutual funds;
> Municipal securities;
> Options.

This was a very meticulous filing with a large number of questions from the district which required us to create many new forms and policies and procedures specific to the Firm’s business model and proposed Registered Representatives.


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