Jim Nelson runs Minnesota Valley Investors, a full-service brokerage in Redwood Falls, Minn ., which has seven registered representatives and four offices.
22.
Shares are available through Prudential Securities'6, 000 financial advisers; starting in January, shares will be sold through Pruco Securities'14, 000 registered representatives.
23.
He started in the financial and insurance business in 1981 when he became a Registered Representative with "'AXA Advisor, LLC " '.
24.
National Planning Holdings manages one of the largest broker dealer networks in the U . S . with over 3, 500 registered representatives.
25.
The combined entity will be the nation's third-largest brokerage firm, with combined client assets of $ 537 billion and 12, 000 registered representatives.
26.
FINRA is funded primarily by assessments of member firms'registered representatives and applicants, annual fees paid by members, and by fines that it levies.
27.
Ohio Co . has 48 offices in Ohio, Michigan, Indiana, West Virginia and Florida and 200 registered representatives who have more than 80, 000 clients.
28.
In the U . S ., by contrast, brokers must pass the Series 7 exam developed by the New York Stock Exchange to become registered representatives.
29.
A broker ( technically a registered representative of a brokerage firm ) is a salesperson whose main job is helping customers trade stocks and other securities.
30.
In 1958, Sickels returned to Detroit and became employed as a registered representative of Manley, Bennett & Company, a member of the New York Stock Exchange.
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