877-218-1776 
All Definitions »Agent
Agent Meaning & Definition
Pass Rate
Over 25 years and 400,000 exams
Assured Success
If you use our practice exams
Chat & Call Support
We are with you every step of the way
Definition of Agent
An agent is a natural person who represents either a broker dealer issuer or an investment adviser. The formal name for an agent who works for a broker dealer is a registered representative. The formal name for a person who represents an investment adviser is an investment adviser representative.
Applying "Agent" to Securities Exams:
A natural person always represents the employing entity. However, a broker dealer can act as the customer’s agent by executing an order for the customer in the market. Generally on all of the FINRA, NASAA exams, an agent is the person who is speaking to a customer, client or potential purchaser of securities. It is important to note that an agent must always register in the states where the agent conduct business, works and have clients.