B/D for Sponsorship?

[intluser]

Can anyone recommend some B/D for sponsorship for the 66 and 7? I would like to be able to offer mutual fund investments and ETFs/stocks to my clients. I do not think the 65 will entirely allow me to do this.

 

[DHK]

The Series 65 will allow you to manage investments... or sell 3rd party investment manager services.

Remember that affiliating with a B/D also means that, for "compliance reasons"... they can practically take over every aspect of your business.

Anyway, here's a B/D that'll probably take you and sponsor you:
Quest Capital

 

[intluser]

I read that I would be unable to recommend stocks or munis with just a 65. Is this not correct?

 

[GreatBridge]

Yes you would be able to recommend stocks and munis with a series 65. You would charge the client an investment advisory fee vs commission. I have a brother that does it everyday.

 

[DHK]

It primarily depends on your custodial relationships that you choose to bring to the table as an RIA.

RIA Brokerage Services | RIA Managed Accounts | RIA Trading Platform | TradePMR Brokerage and Custody Services

 

[intluser]

Anyone ever use/hear of Aitraining?