Challenge Your Exam Readiness With Our Free Series 63 License Practice Questions

Question # 13

Which firm qualifies for the de minimis exemption from registration?

Options:

A.

Adviser with an office in the state and 1 client

B.

Adviser with no office and 3 retail clients in the state

C.

Adviser with 10 institutional clients in the state

D.

Adviser managing $120 million AUM nationwide

Viewing question 13 out of 69 questions
Industry research shows that students who utilize Series 63 License practice tests are significantly more likely to pass exam.


Our free Series 63 License practice questions act as a diagnostic tool to give you a clear snapshot of your Series 63 License readiness. Discover which topics are your strengths and, more importantly, which critical topics require your immediate attention.

Go to Series 63 License Exam Main Page

Series 63 License Overview

Name Series 63 License
Code Series 63 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 63 License Questions