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Would this be legal?

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Jun 18, 2020 12:43 am

FinPlanConsult

Joined: 2020-06-18Offline

Hello ladies and gents,


I work for an IRA, have my 66 and a CFP. I was offered to do some consulting - read - build financial plans for another advisor. I have the time and wouldnt mind to take on some project work, but I am not aware if I am legally allowed to do so without violating some rules. It would essentially be Independent contract work I would do over weekends or after work.


Could anyone shed some light on this please?

Jul 13, 2020 6:42 pm

Former WFA

Joined: 2020-07-09Offline

I believe you meant that you work for a RIA. You should consult the Chief Compliance Officer for guidance.

May 27, 2021 3:23 pm

andrejpesockij920

Joined: 2021-05-20Offline

I believe you meant that you work for a RIA
https://www.worktime.com/employee-time-tracking-software . You should consult the Chief Compliance Officer for guidance.

who else can you consult? maybe there is a bureau regarding this