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Question # 40

Which adviser is NOT required to register in a state?

Options:

A.

Adviser with no office and only institutional clients

B.

Adviser with $80 million AUM serving retail clients

C.

Adviser with $95 million AUM and multiple offices

D.

Adviser with 10 retail clients in the state

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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