TOP

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.

Congratulations!

Leave a Reply

Your email is never published nor shared.

You may use these HTML tags and attributes:<a href="" title=""> <abbr title=""> <acronym title=""> <b> <blockquote cite=""> <cite> <code> <del datetime=""> <em> <i> <q cite=""> <strike> <strong>