Series 63: Selling Away

Taken from our Series 63 Online Guide

Selling Away

If you’ll recall from the section on agents of broker-dealers, they are only permitted to be employed by one firm at a time. This means that any securities services they provide away from the primary firm that employs them are technically illegal. In parti

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I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

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