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

Question # 21

Which of the following would NOT meet the definition of IAR?

Options:

A.

A partner who supervises IARs at a state-registered advisory firm

B.

A representative soliciting clients for advisory services

C.

A clerical employee performing administrative duties only

D.

An adviser providing portfolio management advice

Viewing question 21 out of 69 questions
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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