Series 82: Non-Branch Locations

Non-Branch Locations

Unregistered offices, or non-branch locations, include:

•Any office location established solely for customer service and/or back office type functions where no sales activities are conducted

•An employee’s private residence if:

◊Only resident employees who are immediate family members operate there

◊The employee does not meet with customers there

◊Neither customer funds nor securities are handled at that location

◊The location is assigned to a branch office and subject to the firm’s supervision

◊All orders are made through the designated branch office

•Any location outside the primary residence that