How do I know if I am associated with a broker-dealer?

Disclaimer: Harbor does not provide legal or tax advice and the following is not legal or tax advice. Please consult your own legal or tax professional.

Please note that the Securities Exchange Act of 1934 defines "person associated with a broker or dealer" or "associated person of a broker or dealer" as "any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), any person directly or indirectly controlling, controlled by, or under common control with such broker or dealer, or any employee of such broker or dealer, except that any person associated with a broker or dealer whose functions are solely clerical or ministerial shall not be included in the meaning of such term for purposes of section 15(b) (other than paragraph (6) thereof)."