8150 North Central Expressway, Suite 500
Dallas, TX 75206 (Directions)
(214) 265-1201 (877) 959-8400

 Getting Started - the technical details

I have my securities licenses with another broker/dealer. Is it possible for me to affiliate with 1st Global and still conduct business through my current broker/dealer?

No. NASD regulations mandate that all brokerage firms to which an advisor is licensed bear joint and severable liability, regardless of where the trades are executed.

 



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