Associated Person

What is a Associated Person

Associated Person is any individual under the control of a broker dealer, issuer or bank including employees, officers, and directors, as well as those individuals who control or have common control of a broker dealer, issuer or bank.

SecuritiesCE Explains Associated Person

In the case of a broker dealer; registered reps, principals, officers and directors are all considered associated persons. As such, the are required to be registered. Clerical and secretarial staff are not considered associates, and therefore are not required to be registered.

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