FINRA Uniform Securities State Law Examination Series-63 Question # 29 Topic 3 Discussion
Series-63 Exam Topic 3 Question 29 Discussion:
Question #: 29
Topic #: 3
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
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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