registered principal

Definition

Licensed securities professional who oversees the major operations of a securities firm, including such things as regulatory compliance, sales and marketing. A registered principal must have a principal license in addition to the basic securities licenses required for dealers.

Use this term in a sentence

You should try to make sure that you know what all the registered principal will mean to your new company.

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He was a registered principal and I thought it was really cool and worth taking a look into and seeing what exactly he did.

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As the registered principal, Jenny oversees all the work that Lockheed Martin does, including sales and complying with government contracts.

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Registered Pension Plan (RPP) Series 39