Brad Smith works for GHI Firm. GHI firm is a registered Broker-Dealer in State A, B and C and a registered IA in State A. Brad is a registered IAR in State A, and travels to State B because he wants to meet with some potential new clients in State B. Brad sets up an office in a hotel room, meets with the potential clients, and gives them advice about their portfolio.
[A] This is acceptable because the GHI Firm is registered as a B/D in State B.
[B] This is unacceptable because Brad is not registered in State B.
[C] This is acceptable because Brad does not have an office in State B.
[D] This is unacceptable because Brad is not an Agent.
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