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Associated Person

What does Associated Person mean?

An individual associated with a broker or dealer who solicits orders or accepts orders from customers in any capacity.  He may be associated as a partner, officer, supervisor, employee or agent of the broker or dealer. The term, however, excludes a person working as a solely clerical or ministerial staff.

Futures Knowledge Explains Associated Person

An Associated Person works for a broker or dealer. He solicits or accepts orders from customers or performs similar functions in the futures market.

He may work in different capacities or may supervise such associated persons.  But a person working just in a clerical capacity is not an associated person. He is governed by the rules and regulations framed by exchanges and regulatory bodies.

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