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