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

Question # 2

Which is NOT considered a broker-dealer under the USA?

Options:

A.

A corporation in the business of buying and selling securities for clients

B.

A bank trust department buying securities for trust accounts

C.

A partnership executing trades for clients’ accounts

D.

An online firm with a state office soliciting retail investors

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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