Series 66: Exercise

Exercise

Choose IA or Not an IA

1. 1. _____ Jim, who works for Your Interest, a firm that receives compensation for giving investment advice
2. 2. _____ Silvia, who teaches a class at a community college which includes several classes involving general strategies for financial investment
3. 3. _____ Valued Services, a broker-dealer firm that pays its employees a commission for securities traded as well as occasional compensation for giving advice on which investments are best suited for clients’ portfolios.
4. 4. _____ Investments Publishing, the publisher of a subscription-based interactive website with a component that allows investors to enter personal information and receive advice that matches their needs
5. 5. _____ Beth, an agent for Security Group who gives investment advice but is only compensated for effecting transactions

Answers

1. 1. No