Challenge Your Exam Readiness With Our Free Series 66 License Practice Questions

Question # 13

An IAR tells a client, “I personally guarantee your investment will never lose value.” This is:

Options:

A.

Allowed if the adviser is experienced

B.

Prohibited under NASAA rules

C.

Acceptable if disclosed in ADV

D.

Permissible with client consent

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Series 66 License Overview

Name Series 66 License
Code Series 66 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 66 License Questions