registered representative वाक्य
उदाहरण वाक्य
मोबाइल
- Jim Nelson runs Minnesota Valley Investors, a full-service brokerage in Redwood Falls, Minn ., which has seven registered representatives and four offices.
- Shares are available through Prudential Securities'6, 000 financial advisers; starting in January, shares will be sold through Pruco Securities'14, 000 registered representatives.
- He started in the financial and insurance business in 1981 when he became a Registered Representative with "'AXA Advisor, LLC " '.
- National Planning Holdings manages one of the largest broker dealer networks in the U . S . with over 3, 500 registered representatives.
- The combined entity will be the nation's third-largest brokerage firm, with combined client assets of $ 537 billion and 12, 000 registered representatives.
- FINRA is funded primarily by assessments of member firms'registered representatives and applicants, annual fees paid by members, and by fines that it levies.
- Ohio Co . has 48 offices in Ohio, Michigan, Indiana, West Virginia and Florida and 200 registered representatives who have more than 80, 000 clients.
- In the U . S ., by contrast, brokers must pass the Series 7 exam developed by the New York Stock Exchange to become registered representatives.
- A broker ( technically a registered representative of a brokerage firm ) is a salesperson whose main job is helping customers trade stocks and other securities.
- In 1958, Sickels returned to Detroit and became employed as a registered representative of Manley, Bennett & Company, a member of the New York Stock Exchange.
- During that time, he also worked as a Registered Representative for retail investment management firm Josephthal & Co ., where he developed an impressive book of business.
- For example, Registered Representative, a stockbroker trade magazine in Irvine, Calif ., focuses its October 1995 issue on exploding the myths of " Sex and Investing ."
- Meantime, " NASD Regulation will closely monitor the firm and its registered representatives to ensure that the expulsion order is followed, " said NASD spokesman Michael Robinson.
- Today, " they're hiring record numbers of people, " said Dan Jamieson, editor of Registered Representative in Irvine, Calif ., a magazine for brokers dealing with individual investors.
- Registered representatives who sell variable products such as variable annuities or variable universal life insurance policies typically also must obtain the appropriate state insurance department license ( s ).
- Though Frontier has more than 100 selling agreements with firms in 15 states, Fay said, about 90 percent of its business comes through his brokerage and its three registered representatives.
- Arlett was a registered representative at a brokerage from 1993 until April 1995, when she was fired amid allegations she made unauthorized withdrawals and transfers from the accounts of relatives.
- Charles Schwab is even more basic with its titles, simply calling brokers " registered representatives, " which is the regulatory label for the people who pass the Series 7 brokers'test.
- The annual fee that each member pays includes a basic membership fee, an assessment based on gross income, a fee for each principal and registered representative, and charge for each branch office.
- On January 16, 2009, the Securities and Exchange Commission ( SEC ) issued Rule 151A claiming indexed annuities should be regulated as securities and should only be sold by registered representatives.
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