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

Question # 45

Which of the following must register as an agent?

Options:

A.

A secretary forwarding calls

B.

An individual soliciting trades for a broker-dealer

C.

A compliance officer with no transaction authority

D.

A clerk processing paperwork

Viewing question 45 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