Free Series 63 License Practice Test Questions

Question # 39

Which individual does NOT need to register as an IAR?

Options:

Partner supervising IARs in a state-registered advisory firm

Clerical staff handling paperwork

Solicitor receiving referral compensation

Portfolio manager advising clients

Viewing question 39 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

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