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MEMBERSHIP: (561) 997-8266 Fax: (561) 241-3127 3200 Military Trail, Suite 102, Boca Raton, FL 33431 Main: (561) 585-4544 Fax: (561) 585-4348 1 Harvard Circle, Suite 102, West Palm Beach, FL 33409

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What is secondary broker of recorddesignated?

Secondary broker of recorddesignated is a designation given to a broker who is responsible for maintaining accurate records of all the transactions conducted by the broker and its associated persons.

Who is required to file secondary broker of recorddesignated?

Any broker-dealer or investment adviser that has associated persons engaging in securities transactions must file secondary broker of recorddesignated.

How to fill out secondary broker of recorddesignated?

To fill out secondary broker of recorddesignated, the broker or investment adviser must provide information such as the name, address, and SEC registration number of the primary broker-dealer, as well as the names and registration numbers of the associated persons.

What is the purpose of secondary broker of recorddesignated?

The purpose of secondary broker of recorddesignated is to ensure that accurate records of all securities transactions are maintained for regulatory and compliance purposes.

What information must be reported on secondary broker of recorddesignated?

On secondary broker of recorddesignated, the broker or investment adviser must report the name, address, and SEC registration number of the primary broker-dealer, as well as the names and registration numbers of the associated persons.

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