All of the following individuals would be classified as agents, EXCEPT:

1. AA junior banker at a BD who accepts customer orders for non-exempt securities.
2. BAn individual representing an issuer in offering promissory notes to 5 banks in a private placement.✓ Correct answer
3. CA sales assistant at a BD who effects unsolicited trades of publicly-traded stocks.
4. DA BD employee executing sales of municipal securities to retail investors.

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