It is important to note that the actual
"Agent" means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of the issuer's securities."
This, of course, is the individual who we usually call a registered representative. This person generally works for a broker-dealer.
Exam Tips and Tricks
Agent: Any INDIVIDUAL who acts for or represents a broker-dealer in effecting securities transactions. The term also applies to any individual who similarly represents an issuer
An agent is a salesperson who represents a broker-dealer or issuer, either selling or attempting to sell securities to the investing public. Any time that an agent is acting on the behalf of another, he or she is generally known as acting on the behalf of principals. Agents are also known as registered representatives, but can also be referred to as sales representatives. A brokerage firm cannot be an "agent" because an agent can only be a natural person.
Financial AdvisorChoosing a life insurance agent is the first and most important step in obtaining coverage. Buyers should pay attention to five key factors.
InvestingMost people don't have the time, expertise or motivation to go it alone and finding a good real estate agent becomes essential to enjoying a smooth real estate transaction.
Financial AdvisorWhile every day is unique for a real estate agent, there are some activities that may be a typical part of an agent's day.
InvestingWhile they can be instrumental in helping you buy or sell a home, real estate agents may ulterior motives.
InvestingWhen you set out to buy or sell a house, one factor worth considering is the real estate agent's fees.
InsuranceInsurance agents must possess each of the following qualities in order to be successful.
InvestingHere's how real estate commissions on home sales really work. And, yes, they're negotiable.
InvestingHow to tell if you'd be good in this field. It is a common second career for many people, but isn't a good match for everyone.
InvestingMost real estate agents are paid a percentage of the property’s selling price, which is called a commission.