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

Question # 50

Which practice violates fiduciary duty?

Options:

A.

Disclosing all fees to clients

B.

Using client funds for personal expenses

C.

Providing suitable investment advice

D.

Maintaining proper records

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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