Unlicensed FINRA regulatory compliance "consultant"
Aside from learning your b/d's business on your dime, you'll get hit with the additional legal expense of fixing the numerous regulatory deficiencies she'll overlook or not remedy. Its no wonder the principal of this firm doesn't get her FINRA licenses - she doesn't want the exposure for the mine field she leaves. Stay away from her - she's only going to throw your b/d under the bus during a regulatory exam and then move onto the next sucker b/d that will hire her for her unlicensed "compliance" services.
By RealReviewGuy