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Meet Agent Broker-Dealer And Representative Investment Advisor

Meet Agent Broker-Dealer And Representative Investment Advisor

We’re talking about the guys and gals who represent, or work for, the broker-dealers and investment adviser firms. They’re called ‘agents’ and the Uniform Securities Act defines them as:

“Agent means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect transactions in securities.”

On the buy side, individuals who work for investment adviser firms are called investment advisor representatives (how’s that for a mouth...

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