Series 63: Exercise

Taken from our Series 63 Online Guide

Exercise

Choose INVESTMENT ADVISER or NOT AN INVESTMENT ADVISER

1. _____ Jim, who works for Your Interest, a firm that receives compensation for giving investment advice.

2. _____ Silvia, who teaches a course at a community college that includes several classes focused on general strategies for financial investment.

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. _____ 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. _____ Beth, an agent for Security Group who gives investment advice but is only compensated for effecting transact

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