Registered Representative |
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Registered Representative (RR) Individual in the investment banking and securities industry that has successfully completed the examination and licensing required by a self-regulatory organization.
Registered representative - A person employed by, and soliciting business for, a commission house or futures commission merchant.
Registered representative
A person registered with the CFTC who is employed by and solicits business for a commission house or futures commission merchant.
Registered representative: A brokerage firm associate who has completed a required course of study and passed a series of exams affirming their understanding of the securities industry, regulations, and appropriate conduct toward clients.
Registered representative - The man or woman who serves the investor customers of a broker/dealer.
Registered representative: The official term for a stockbroker or account executive with a brokerage firm.
Registered representative: An employee of a broker/dealer that is a member of the NASD or a stock exchange who is registered with the SEC and performs the duties of an account executive.
Registered Representative (RR)
A brokerage firm employee who acts as an account executive for clients. In a full brokerage house, a registered representative solicits clients' business and provides advice on when to buy and sell securities.
He is a Registered Representative of Linsco/Private Ledger and a principal with Dahlke Financial Group. He is licensed to transact securities with persons who are residents of the following states: CA. CT, FL, GA, IL. MA, MD. ME, MI. NC, NH, NJ, NY.
Series 7 The General Securities Registered Representative License, which is required... series bond A single bond issue offered to the public on multiple dates.
" - the latter being abbreviations of the official Financial Industry Regulatory Authority (FINRA) designation "Registered Representative, ...
And the fact is that many brokerage houses and Registered Representatives tend to be more interested in their profits than yours.
The productivity of a registered representative and a brokerage office is often measured by the gross commissions per broker. Registered representatives are generally allowed to keep about one third of their gross commissions.
He began his career in the year 2000 with Charles Schwab as a Registered Representative. In addition to those markets, Scott began trading foreign currencies in 2004.
Tzougros is an author, speaker, radio show host and registered representative offering securities and additional investment advisory services offered through WS Griffith Securities, Inc. Member NASD/SIPC. 95 Sawyer Road, Suite 500, Waltham, MA 02453.
Stockbroker - An investment professional, a registered representative, who deals with investors and providing advice.
Stockholder - Also called a 'shareholder.' A person who owns shares in a company.
John Mauldin is a registered representative of Millennium Wave Securities, LLC, (MWS) an NASD registered broker-dealer. Millennium Wave Investments is a dba of MWA LLC and MWS LLC.
A test required in some states for registered representatives who are employees of member firms of the NASD or over-the-counter brokers.
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The Series 7 Exam is a required examination for all who wish to buy or sell securities, and who wish to become registered representatives in the securities trade.
Order Department: Refers to the operating department of a brokerage firm that receives customers' orders from the registered representative and transmits them to the exchange floor where a floor ticket is prepared, ...
There are a variety of people who can help you invest in bonds-they go by different titles including financial advisors, brokers, sales representatives, stockbrokers, account executives, or registered representatives. How do you decide whom to use?
Selling away: When a registered representative of a broker-dealer sells financial products not authorized by the broker-dealer.
The database contains records and information about registered representatives, better known as stockbrokers.
Visit or call a branch near you and compare the information you are given by a registered representative.
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Floor ticket
Summary of a stock or commodities exchange order ticket by the registered representative on receipt of a buy or sell order from a client; gives the floor broker the information needed to execute a securities transaction.
A member of the Exchange who trades in stocks on the Floor for an account in which the member firm has an interest. Also known as Registered Trader. (see Registered Representative)
Conglomerate ...
Before making a securities investment, you must decide which brokerage firm - also referred to as a broker/dealer - and sales representative - also referred to as a stockbroker, account executive, or registered representative - to use.
and most take this test after they have been employed by a brokerage firm for four months where they have had on-the-job training. In order for a broker to obtain a license, he or she must take the General Securities Registered Representative ...
A portion of the sales charge that is paid to a registered representative as compensation for the sale of a security.
Compensation
Wages, salaries, tips, professional fees, bonuses and other amounts one receive for providing services.
Common Stock ...
 See also: Account, Market, Trading, Investment, Interest
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