Making Trades

We would like to have an assistant licensed to execute the block trading of RIA discretionary accounts. What license(s) would that individual need to have?

Stephanie Kelm, IACCP (r)
Senior Client Services Associate
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Direct - (585) 497-5006
Main - (585) 497-5000
Fax - (585) 497-5001

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Investment advisory services offered through NorthLanding Financial Partners, LLC, an SEC Registered Investment Adviser. Clearing, custody and brokerage services provided to clients of NorthLanding Financial Partners, LLC are offered by Fidelity Brokerage Services, LLC, Member NYSE/SIPC. Securities may also be offered through Mutual Securities, Inc., Member FINRA/SIPC. Supervisory office located at 807-A Camarillo Springs Road, Camarillo, CA 93012. NorthLanding Financial Partners, LLC is not affiliated with Mutual Securities, Inc.

Comments

  • As an SEC registered adviser, there is no registration requirement to submit trades. If you want to require the individual to have some level of knowledge about the business, the Series 65 is the stand alone investment adviser law license.


    Jessica Dellinger
    Compliance Officer

    GenSpring Family Offices
    Tel 561.839.1279
  • 65

    Jacqueline Parker
    Operations Manager


    Arista Wealth Management
    We have moved! Our new address is:
    8876 Spanish Ridge Ave, Suite 202, Las Vegas, Nevada 89148
    O: 702-309-9970 | T: 877-309-9970 | F: 702-974-0710
    Nevada | Arizona | Utah |
    www.aristawealth.com
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