4 4EXJOE Sep 3, 2010 #1 Can an individual who has the series 3 license become an associated person (AP) of multiple firms? Or can you only be an AP of one? Thanks couldn't find anything on NFA website.
Can an individual who has the series 3 license become an associated person (AP) of multiple firms? Or can you only be an AP of one? Thanks couldn't find anything on NFA website.
T TradeWrecker Sep 3, 2010 #2 It was my understanding that you could be an AP of multiple firms with specific restrictions. http://www.nfa.futures.org/nfamanual/NFAManual.aspx?RuleID=RULE 207&Section=8 It can't hurt to call the NFA and verify that your situation is compliant.
It was my understanding that you could be an AP of multiple firms with specific restrictions. http://www.nfa.futures.org/nfamanual/NFAManual.aspx?RuleID=RULE 207&Section=8 It can't hurt to call the NFA and verify that your situation is compliant.
C Chicago_CTA Sep 3, 2010 #3 Quote from 4EXJOE: Can an individual who has the series 3 license become an associated person (AP) of multiple firms? Or can you only be an AP of one? Thanks couldn't find anything on NFA website. More... Absolutely. Some managers are registered to their own company (eponymous advisory firm, for example) and still an AP of the FCM they clear their business through. Contact NFA to gain clarity on your specific situation.
Quote from 4EXJOE: Can an individual who has the series 3 license become an associated person (AP) of multiple firms? Or can you only be an AP of one? Thanks couldn't find anything on NFA website. More... Absolutely. Some managers are registered to their own company (eponymous advisory firm, for example) and still an AP of the FCM they clear their business through. Contact NFA to gain clarity on your specific situation.
C crgarcia Sep 8, 2010 #4 Quote from 4EXJOE: Can an individual who has the series 3 license become an associated person (AP) of multiple firms? Or can you only be an AP of one? Thanks couldn't find anything on NFA website. More... The only series 3 you should get is the BMW car. All frequent traders lose and before long you'll find yourself trying to explain losses to your customers.
Quote from 4EXJOE: Can an individual who has the series 3 license become an associated person (AP) of multiple firms? Or can you only be an AP of one? Thanks couldn't find anything on NFA website. More... The only series 3 you should get is the BMW car. All frequent traders lose and before long you'll find yourself trying to explain losses to your customers.
