Are private equity professionals associated persons?
Maybe a dumb question but want to be certain. I'm moving an investment account to a new platform and it just asked me if I am an associated person. I took the standard FINRA exams like the SIE, 63, 79 last year and was definitely an associated person while at my old bank. But I now work in PE at an RIA and my current shop didn't submit another U4 when I started. My broker check just has my old bank and nothing after. Am I good to no longer consider myself an associated person? I'm fairly sure I'm good here but don't want to get in trouble.
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