registered brokers

Who Is A Restricted Person Under Finra Rule 5130?

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Who Is A Restricted Person Under Finra Rule 5130? For purposes of these rules a “restricted person” as the term is used this this alert, includes the following: (1) broker‐dealers; (2) broker-dealer personnel; (3) finders and fiduciaries; (4) portfolio managers; and (5) persons owning a broker‐dealer and (6) in certain cases persons materially supported by

Do All Registered Reps Have A Crd?

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Do All Registered Reps Have A Crd? Licensed brokers and brokerage firms all have a unique Central Registration Depository (CRD) number. This CRD number can be used by the public to search an online database containing detailed information about both individual brokers and financial firms. What is CRD registry? The CRD program covers the registration