Agent
1. An individual or firm that places securities transactions for clients.
2. A person licensed by a state to sell insurance.
3. A securities salesperson who represents a broker-dealer or issuer when selling or trying to sell securities to the investing public. Investopedia Says:
Essentially, this is the person who makes a transaction on behalf of his or her employer or client. Related Terms:
Agency Broker
Agency Costs
Analyst
Attorney In Fact
Broker
Broker-dealer
Fiduciary Risk
Payment For Order Flow
Principal
Rule 10b-18 |