Series 63: 2.3 Agents Of Broker-Dealers And Agents Of Issuers

Taken from our Series 63 Online Guide

2.3 Agents of Broker-Dealers and Agents of Issuers

An agent’s relationship to a broker-dealer or issuer of securities is nearly identical to the relationship that an IAR has to the investment advisory firm that employs him. Remember that the broker-dealer or investment adviser is generally a firm; the agent or investment adviser representative is an individual who represents the firm. For the agent this means that he

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 2.3 Agents Of Broker-Dealers And Agents Of Issuers, you might also be interested in:

Series 24 - Customer Identification Verification

Series 63 - Practical Application

Series 53 - Rule G-41—Anti–Money Laundering Compliance Program

Series 24 - Electronic Communications and Social Media

Series 53 - Recommendations Defined for Suitability Purposes

Series 65 - 9.2.2 Other Penalties and Liabilities

Series 28 - Accounting Standards

Series 14 - 2.3.3.3. Consolidated Tape

Series 79 - SEC Requirements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used another exam prep for my series 6, failed it. Then came across Solomon Exam Prep. I passed series 6 once and just passed series 63 yesterday. Thanks for a great material.

Toyin Daranijoh, Primerica, Kalamazoo, MI

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

Used Solomon Exam Prep for both my Series 6 and 63 exams. Passed both first try. The practice tests were invaluable. Thanks!

Alex T.

I previously failed my attempt at the series 63. Not by much. Literally one question. But in analyzing why I began to understand that I needed a more comprehensive approach to studying as well as more variety. I looked into a few options and came across Solomon Exam Prep. What I enjoyed and found the most useful were the video presentation and practice exams with immediate feedback. Those exams enabled me to learn with explanation every time I got a question wrong (or right on a guess). The materials are all beneficial and well worth it. I recently passed the series 63 with a score of 85 and much of that success lies upon the use of Solomon Prep. Thanks.

Anslem Gardner

The Solomon Series 63 study materials were excellent. In addition, the staff was extremely helpful in answering my questions and providing advice. Special thanks to Jeremy, Karen and Craig.

Joe