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03-22-2019, 10:22 AM #9
Reputation points: 341306
- Join Date
- Mar 2015
- Location
- Boynton Beach
- Posts
- 3,513
Does not matter how you classify the fee. It is still a form of compensation and not legal. You can sell assets in some states without a FINRA license. Some require a real estate license to do so. You cannot accept any form of compensation for an equity transaction without a FINRA license. Not only will FINRA come after you for doing so, most states will have their AG after you and in some states you get a nice visit to their pokey.
Kevin Henry
VP-Business Development
Seacoast Business Funding, a division of Seacoast Bank
561-850-9346
Kevin.Henry@SeacoastBF.com
1880 N Congress Ave., Suite 404
Boynton Beach, FL 33426
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