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 re