Related Posts
Hey! Any Google folks know if it’s possible to negotiate fully remote if a contract role is hybrid? Personally, I don’t want to relocate and go to the office on a contract role given the current economy. Plus, I’m assuming contractors are the first to go in layoffs. I just think it’s a fair trade off if I’d be allowed to work fully remote. I’m also trying to have flexibility to manage my Airbnb business in a different country. Same time zone as the home office if I’d travel weeks at a time.
More Posts
Hello, what is working in retail banking like at JPMorgan Chase ? Specially the branch manager role. I’m looking in the Columbus area. How is pay, culture, benefits, sales environment, meetings, etc. How easy is it to transition from retail banking to corporate. I hear the Polaris campus has great opportunities, I was thinking about getting my foot in the door through retail then transferring to corporate ?
Additional Posts in Financial Advisors
Has anyone set up a template follow-up email?
Anyone in the Houston area?
New to Fishbowl?
unlock all discussions on Fishbowl.




If clients come to your location or you accept correspondence there, you have to register it as a branch location and have the office periodically audited. Depends on your firms policies too so make sure to ask the BD if they even allow it.
This I do have. My office is located just inside my front door. Although I would probably need a lock for the door. Thanks for your input. 🙂
Community Builder
You could register at your headquartered BD or RIA location and meet clients in public locations.
Community Builder
This information is incorrect. FINRA is brokerage regulation. If under 100M you must be registered with the state securities commission, not the same thing
Certainly you have to register it if it's your primary place of business. What matters most is where and how you keep client records. You'll need to show where you keep your records (best if you're completely digital and keep all records in the cloud) and what your security and back-up systems are. They will only be interested in the rest of your house if you keep any business records somewhere other than your home office. Where you meet with your clients in your house doesn't really matter.