Based in Paoli, PA, near Philadelphia, MerCap supports 90 registered representatives
in 20 states, with a primary concentration in the Northeast.
Then they can go and recruit registered representatives
to sell through them.
Additionally, most states require passing this exam along with the series 6 or 7 exam for registered representatives
In addition to easing the transition burden for new independents, the turnkey office program also complements Cambridge's branch builders' initiative by pairing interested Registered Representatives
with expanding branch offices across the country.
FINRA found that Katherine Moore, Barron Moore's president, chief executive officer and principal owner, failed to supervise the registered representatives
who engaged in the misconduct and failed to ensure that Barron Moore had adequate supervisory procedures concerning the sale of unregistered securities.
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) announced today that it has fined and suspended 16 current and former registered representatives
of State Farm VP Management Corp.
Together with Investacorp, we will be well-positioned to capitalize on the rapidly growing and evolving independent broker space and will look for ways to help them build on their business model through technology investments so that they can become the clear choice for independent minded Registered Representatives
Securities offered through Registered Representatives
, ePLANNING Securities, Inc.
a member of the National Life Group, will co-market Phoenix's variable annuity products, including flexible premium deferred variable annuities and a single premium immediate variable annuity, through Equity Services' registered representatives
In response to increased growth at Investors Capital Corporation and continued interest from registered representatives
nationwide, Investors Capital has further enhanced its national marketing group.
First Montauk conducts securities brokerage, insurance, investment banking and advisory business and has approximately 275 registered representatives
and services over 50,000 retail and institutional accounts, which comprise over $3 billion in customer assets.
AMEX: ICH), today became one of the industryeIUs first independent broker-dealers to offer comprehensive group health, dental, vision, life & disability insurance for its registered representatives
won the Broker/Dealer ACE Award, which recognizes the brokerage firms that sell TIC interests, with whom the registered representatives