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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