Series 51: Brokers And Dealers

Taken from our Series 51 Online Guide

Brokers and Dealers

A broker is any person engaged in the business of effecting securities transactions for the accounts of others. A dealer is any person engaged in the business of buying and selling securities for its own account (not including security-based swaps). The term

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I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

Katrina Jackson, Cambridge Investment Research, Fairfield, IA

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Margaret Chen, PFS Investment, Duluth, GA

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Michael

Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA