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?

U-4
Form ADV
a recent photograph of yourself
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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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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