Forum: Brokers
March 14th, 2014, 06:49 PM
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Replies: 5
Views: 3,159
stocksguy66
You are allowed to have max 15...
stocksguy66
You are allowed to have max 15 customers (or $26M AUM) under federal rules. If you have more than 15 customers (or exceed $26M AUM), you have to register as an RIA (registered...
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