Series 27: Limited Principal—Introducing Broker-Dealer Financial And Operations

Taken from our Series 27 Online Guide

Limited Principal—Introducing Broker-Dealer Financial and Operations

A FINOP for an introducing broker-dealer must qualify as an Introducing Broker Financial and Operations Principal, one of whom must perform the duties of chief financial officer. The FINOP registers as a Limited Principal—Introducing Brok

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Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

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