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FINRA Uniform Securities State Law Examination Series-63 Question # 55 Topic 6 Discussion

FINRA Uniform Securities State Law Examination Series-63 Question # 55 Topic 6 Discussion

Series-63 Exam Topic 6 Question 55 Discussion:
Question #: 55
Topic #: 6

Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties.

Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?


A.

Larry only


B.

Larry and Mary only


C.

Larry, Mary and Curly


D.

Mary and Curly only


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