Series 82: 2.1.4.3. Non-Branch Locations

Taken from our Series 82 Online Guide

2.1.4.3. 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 t

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