Series 66: Exercise

Taken from our Series 66 Online Guide

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

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