Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that...

FINRA Series-63 Question Answer

Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm’s clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, “State-Approved Agent.”

Will Ari be violating any securities laws if he distributes these business cards?

No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.

No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a “State-Approved Agent.”

Yes. Agents are not permitted to include a picture of themselves on their business cards.

Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.

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FINRA Series-63 Summary

Vendor: FINRA
Product: Series-63
Update on: Jul 25, 2025
Questions: 251

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Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that...

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