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Felix made 5% as the placement agent for the funds but Felix also had a registered representative that worked with sellers.
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Further, the firm submitted three inaccurate 3070 filings and failed to submit a 3070 filing disclosing the felony conviction of a registered representative.
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To be clear, very clear, I am NOT advocating that every broker-dealer or registered representative be required to conduct business based solely upon guarantees or profit sharing.
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Lost on them are the distinctions between types of advisors such as Registered Representative and Investment Advisor Representative, between Certified Financial Planner and Certified Financial Analyst, and between firm types such as Broker-Dealer and Registered Investment Advisor.
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From the beginning of December, we called for a quote with registered office of the Brazilian Singer Michel towel, representative from his brother and manager sr.
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The party has also apologised after its candidate for Shalford failed to get registered in time, meaning there will be no Conservative representative to defend the seat.
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Girouard is the author of The Ten Truths of Wealth Creation and a Registered Principal of Cambridge Investment Research, and an Investment Advisor Representative of Capital Investment Advisors, in Bethesda, MD.
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