FINRA Series 63 (NASAA)

Category - Series 63

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Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the asset allocations of their portfolios. Jack Bean is

an investment adviser representative.
an investment adviser.
an administrative assistant.
an agent.

Explanation

Answer: A - As an employee of Giant Investment Advisers who provides investment advice to clients, Jack Bean is an investment adviser representative. Giant is the investment adviser. Agents are employed by broker-dealers.

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FINRA Series 63 (NASAA)

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