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.