A securities professional who engages in the business of buying and selling securities for the accounts of others is a(n):

Question

Quizplus · Accepted Answer

A broker is a securities professional who acts as an intermediary between buyers and sellers and executes trades on behalf of clients. Dealers, on the other hand, buy and sell securities for their own accounts. Investment advisers provide advice to clients on investment decisions, while scalpers and churners engage in unethical and often illegal practices.

A Securities Professional Who Engages in the Business of Buying