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

Question # 3

Which adviser must register with the SEC?

Options:

A.

Adviser with $115 million AUM

B.

Adviser with $95 million AUM

C.

Adviser with $50 million AUM in one state

D.

Adviser with 4 clients and no office in the state

Viewing question 3 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