Series 65/66 Practice Question of the Day

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Oct 5, 2017 3:01 pm

For practice:

4) Which of the following activities would define a person as an investment adviser representative?

I Making recommendations or otherwise rendering advice regarding securities

II Managing accounts or portfolios for clients

III Soliciting advisory services for an investment adviser

IV Supervising someone who manages investment portfolios

A. I Only

B. I and II only

C. I, II, and III

D. I, II, III, IV