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Insurance agents who are not also licensed securities professionals do not have the training and have not demonstrated the expertise necessary to determine the suitability of liquidating securities products to fund the purchase of an insurance product.
FORBES: How A New Generation Of Con Artists Gets Inside Your Wallet
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They use the Internet, the application of innovative technology and the assistance of licensed securities brokers when appropriate to provide a broad universe of accredited and institutional investors with efficient access to private company stock investment opportunities and to take friction out of the transaction process.
FORBES: The Case For Private Company Stock Marketplaces
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He is licensed as a general securities representative and holds a Series 7 license.
FORBES: Minority-Owned Brokerages vs. Pension Brokers: Fighting for the Same Commission Dollars (January 1, 2002 )
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As the owner of a brokerage firm, I am licensed as a general securities representative, general securities principal, municipal securities principal and financial and operations principal.
FORBES: Minority-Owned Brokerages vs. Pension Brokers: Fighting for the Same Commission Dollars (January 1, 2002 )
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Investors should demand to see proof that a salesperson is licensed to make a recommendation to sell securities before agreeing to any transaction involving securities.
FORBES: How A New Generation Of Con Artists Gets Inside Your Wallet
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Being licensed as an insurance agent is not a substitute for a securities license.
FORBES: How A New Generation Of Con Artists Gets Inside Your Wallet
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The tool is powered by New York-based SecondMarket, an investment platform that is licensed by the U.S. Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission as a broker-dealer.
WSJ: Raising Startup Capital From Anywhere, USA
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The Malaysian Securities Commission has taken the view that web-based investment advisory services that would charge money should be licensed separately to protect investors.
CNN: From Our Correspondent: Malaysian Stock Tips Go Online
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The SBA, which is a federal government agency, licensed L Capital in 2004 as a small business investment company, backing Leitersdorf through the purchase or guarantee of various securities.
FORBES: Feds Move To Liquidate Jet-Setter's Government-Backed Venture Firm