Registration of Associated Persons
FINRA recognizes two broad categories of individuals for registration: representatives and principals. A principal is a person actively engaged in the management of the member’s investment banking or securities business, including sole proprietors, officers, partners, and managers. A representative is any other person who solicits or conducts business in the investment banking or securities business, including research analysts and broker-dealer trainers. Anyone who is registered by FINRA, principal or representative, may be
