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Super OSJ

What is a Super OSJ in the context of a Registered Investment Advisor (“RIA”)?

Definition: This is an informal name that is typically attributed to very large OSJs, often encompassing hundreds of registered representatives each.

When used in an RIA context: “The financial advisor joined an existing Super OSJ of the broker-dealer.”

See also: Episode 102, broker-dealer, Registered Representative, Office of Supervisory Jurisdiction, OSJ

(See full list of glossary terms.)

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