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

Question # 5

Which firm is required to register in a state?

Options:

A.

Broker-dealer with no office and only institutional clients

B.

Broker-dealer with an office but only serving out-of-state residents

C.

Bank offering securities in its trust department

D.

Firm transacting solely in exempt securities with no office 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