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Agent Broker-Dealers and Representative Investment Advisors

Agent Broker-Dealers and Representative Investment Advisors

We're talking about the guys and gals who represent, or work for, the broker-dealers and investment adviser firms. They're referred to as "agents." Here's how the Uniform Securities Act defines them:

"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 advisor firms are called investment advisor representatives (how's that for a...

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