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Yes, Being Organized is an Official Requirement

Yes, Being Organized is an Official Requirement

That’s right, if you find paperwork behind filing cabinets and client checks in your clothes hamper, the securities industry is not for you. Repeat, not for you. Fastidiousness is a quality consummately to be desired. Registered firms that accept client monies and/or securities for investing and/or safekeeping must keep accurate records of all this stuff.

The Uniform Securities Act loves recordkeeping so much that it gets a legalistic woody over it. See for yourself:

“Every registered bro...

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