Series 27: Registration Of Associated Persons

Taken from our Series 27 Online Guide

Registration of Associated Persons

FINRA recognizes two broad categories of individuals for registration: representatives and principals. A principal is a person actively engaged in the management of the member’s investment banking or securities business, including sole proprietors, officers, partners, and managers. A representative is any other person who solicits or conducts business in the investment banking or securities business, including research analysts and broker-dealer trainers. Anyone who is registered by FINRA, principal or representative, may be

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