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

Question # 31

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

Options:

A.

Bank trust department

B.

Financial planner charging fees

C.

Partnership providing advice for compensation

D.

Firm managing mutual fund portfolios

Viewing question 31 out of 69 questions
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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