Practice Quiz

FINRA Series 63 (NASAA)

Category - Series 63

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After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?
  1. U-4
  2. Form ADV
  3. a recent photograph of yourself
  4. proof that you meet the state’s minimum net capital requirement
Explanation
Answer: A - When applying for registration as an agent, you will need to submit a U-4. No photograph is necessary. Form ADV is used to register as an investment adviser, and only broker-dealers and investment advisers must meet the state’s minimum net capital requirement.
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