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Apr 8, 2024 · Registered Representative - RR: A registered representative (RR) is a person who works for a brokerage company and serves as a representative for clients trading investment products such as stocks ...
Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities—stocks, bonds, mutual funds and certain other investment products —on behalf of their customers (as broker), for their own accounts (as dealer) or both. Commonly referred to as ...
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What does a registered representative do?
Feb 24, 2020 · February 24, 2020. “Registered representative” is a term that describes someone who is licensed to buy and sell securities for clients and is sponsored by a firm registered with the Financial Industry Regulatory Authority (FINRA). Registered representatives are more commonly referred to as stockbrokers. This article explains what a ...
- Former, Current and Future Registrants. 1.1 Our firm is considering whether, on or after October 1, 2018, to reregister as representatives several individuals whose registrations were last terminated prior to October 1, 2018.
- Permissive Registrations. 2.1 An individual registered as a Research Principal and working in our research department will be fully transferring to our parent company, a broker-dealer in Germany, at some point after October 1, 2018.
- Financial Services Affiliate Waiver Program. Note: The Financial Services Affiliate Waiver Program (FSAWP) stopped accepting new participants on March 15, 2022.
- Principal Financial Officer and Principal Operations Officer. 4.1 Our firm is an introducing broker-dealer. We have designated an individual as our Financial and Operations Principal (FINOP) to carry out the financial and operational responsibilities specified in FINRA Rule 1220(a)(4)(A).
If you are a currently registered rep or employed with a firm, you need to work with your firm’s compliance department to ensure your registration status, update your record and comply with your obligations. You can also use the FinPro system to review your registration and licensing information, including exams and CE requirements. Learn more about how to manage your career as a registered ...
Apr 9, 2019 · Step 1: Sit for and Pass the SIE Exam. In 2018, FINRA initiated a new introductory step in the process of earning a securities license and becoming a registered representative in the form of a new exam called the Securities Industry Essentials (SIE) exam. If you are seeking a securities license with an exam window that opens after October 1 ...
Aug 30, 2023 · Registered representatives, or brokers, are licensed to act as middlemen for securities transactions. Their knowledge and expertise should make the market more comprehensible for their clients and help them purchase the right investment products. If you decide to work with a registered representative, make sure you understand their fees upfront.
