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

Question # 31

Which adviser must register with the SEC?

Options:

A.

Adviser with $120 million AUM

B.

Adviser with $75 million AUM

C.

Adviser with no office and 3 retail clients

D.

Adviser with $95 million AUM

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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