Series 66: Exercise

Taken from our Series 66 Online Guide

Exercise

Match the investment professional to the compensation arrangement

  1. A. Investment adviser representative
  2. B. Agent
  3. C. Solicitor
  4. 1. _____ Fee based on a percentage of assets under management
  5. 2. _____ Markup on the price of a security purchased from a client.
  6. 3. _____ Commissions received for effecting securities transactions.
  7. 4. _____ A flat fee received for providing investment advice
  8. 5.

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