CMA – 5k Broker Dealer Approved For 30 Brokers & Six Lines of Business – NYC

Just had an approval of a 5k Broker Dealer in New York City with approval for 30 brokers!

This Broker Dealer received approval for the following:

  • Employ 30 Associated Persons;
  • Broker retailing corporate equity securities over-the-counter;
  • Broker selling corporate debt securities;
  • U.S. Government securities broker;
  • Mutual Fund retailer;
  • Broker selling variable life insurance or annuities;
  • Non exchange member arranging for transactions in listed securities by an exchange member.


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