| 1. | Exceptions are made only for registered representatives of major new media organizations.
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| 2. | The "'registered representative for a securities broker, known as a dealer member.
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| 3. | A registered representative and their clients rarely read a prospectus.
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| 4. | Together, the bank will have 225 registered representatives, in the top 15 among banks.
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| 5. | Since early 2006, he has been registered representative for Cigna and Aetna insurance companies.
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| 6. | He was not a registered representative with any securities exchange.
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| 7. | Quest CE services broker-dealers, registered representatives, and investment advisers.
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| 8. | Other employees generally must be registered representatives, unless they have only clerical or ministerial responsibilities.
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| 9. | Most FINRA examinations are divided into two categories : Registered Representative and Registered Principal levels.
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| 10. | Doley Securities employs a total of six registered representatives in New York and New Orleans.
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