FINRA Series-63 Question Answer
Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties.
Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
FINRA Series-63 Summary
- Vendor: FINRA
- Product: Series-63
- Update on: Jul 25, 2025
- Questions: 251
