Making Trades

stephkelmstephkelm
in Compliance
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
[NorthLanding logo color]
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

  • jessica.dellinger@genspring.comjessica.dellinger@genspring.com
    edited May 2017
    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
  • Jacqueline@aristawealth.comJacqueline@aristawealth.com
    edited May 2017
    65

    Jacqueline Parker
    Operations Manager


    Arista Wealth Management
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    O: 702-309-9970 | T: 877-309-9970 | F: 702-974-0710
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    www.aristawealth.com
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