Syndicating deals as FINRA member employee.

[John Kiley]

Hey Everyone

I was hoping to get some insight into the nuances of syndicating commercial real estate deals while simultaneously being FINRA registered for my day job. (6,7,63,66)

I was wondering if it is possible to be a partner in a firm that syndicates deals under 506(b) and 506(c) designations without violating the terms set out by FINRA, which i bound to for my current day job. My biggest concern would be falling into the camp of having to register as a broker dealer with the SEC as this is something prohibited.

Any insight here would be much appreciated.

Thanks

John