Associated Person Bundles
Associated Persons (APs) are individuals who solicit orders, customers or customer funds (or who supervise persons so engaged) on behalf of the commodity trading advisor (CTA) or commodity pool operator (CPO). An AP is, in effect, any person who is a salesperson or who supervises salespersons for any of these categories of individuals or firms. The registration requirements apply to any person in the supervisory chain-of-command and not only to persons who directly supervise the solicitations of orders, customer or funds.
Associated Person Courses
Pick and choose from the course's you need to satisfy your financial compliance certificate. If you need help at anytime, please reach out to our staff. We are happy to help.