working full time at RIA while having licenses elsewhere

1 reply [Last post]
edtop40's picture
Offline
Joined: 2012-04-02

i work full time on the trading desk at an RIA which divested itself of it's bd a year ago...i don't want to loose my licenses.....can i work for a prop firm day trading while being employed full time by a seperate and distinct RIA firm?

stockattorney's picture
Offline
Joined: 2010-09-09

Both the RIA and broker-dealer have to approve your dual-registration/association but most BDs prefer not to do so.  Also, some states don't permit dual-registration.

Please or Register to post comments.

Industry Newsletters
Investment Category Sponsor Links

 

Sponsored Introduction Continue on to (or wait seconds) ×