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

Question # 3

Under the USA, which is EXCLUDED from the definition of “investment adviser”?

Options:

A.

A bank trust department

B.

A financial planner charging asset-based fees

C.

A partnership advising clients for compensation

D.

A corporation managing securities portfolios

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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