Account Executive (AE)

What is a Account Executive (AE)

An account executive is an individual who is duly licensed to represent a broker dealer in securities transactions or investment banking business.

Also known as a Registered Representative.

SecuritiesCE Explains Account Executive (AE)

The agent who manages the accounts of individuals or of institutional clients is known internally at many brokerage firms as the account executive. In order to represent the brokerage firm in the sale of securities to clients the AE would have had to have passed the series 7 or the series 6 exam. Account executives generally make recommendations to their clients based on the client’s stated investment objectives.

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