Thinking about going independent and operating out of my home office. Does anyone have any thoughts to share about that? I’m wondering about clients coming to my home and FINRA issues.

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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.

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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. 🙂

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You could register at your headquartered BD or RIA location and meet clients in public locations.

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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.

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