Oct 31, 2026 · 4 min · 6 segments
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam…
The primary exclusion for individuals working at a broker-dealer covers purely clerical or ministerial employees.
For example, an administrative assistant who answers phone calls, provides basic market quotes, sends account statements, or schedules appointments does not act as an agent.
If that administrative assistant accepts a customer order, solicits trades, or discusses the risks and merits of a security, they step out of the clerical exclusion and must be registered as an agent before performing those activities.
The primary exclusion for individuals working at a broker-dealer covers purely clerical or ministerial employees.
For example, an administrative assistant who answers phone calls, provides basic market quotes, sends account statements, or schedules appointments does not act as an agent.
If that administrative assistant accepts a customer order, solicits trades, or discusses the risks and merits of a security, they step out of the clerical exclusion and must be registered as an agent before performing those activities.
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