Series 66: Exercise

Taken from our Series 66 Online Guide

Exercise

Match the investment professional to the compensation arrangement.

A. Investment adviser representative

B. Agent

C. Solicitor

1. _____ Fee based on a percentage of assets under management

2. _____ Markup on the price of a security purchased from a client.

3. _____ Commissions received for effecting securit

Since you're reading about Series 66: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 66
Please Enable Javascript
to view this content!