Series 63: 2.2 Practical Application

Taken from our Series 63 Online Guide

2.2 Practical Application

Like virtually all investment professionals, Amy Adams will never register as a broker-dealer. In reality, the number of broker-dealers in the country is somewhere in the thousands and the vast majority of these are firms, not individual professionals. However, these broker-dealers may literally employ hundreds of thousands of investment professionals as agents.

The firm that Amy Adams works for is one such firm. In addition to acting as an investment

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Series 63: 2.2 Practical Application

Taken from our Series 63 Online Guide

2.2 Practical Application

Since you're reading about Series 63: 2.2 Practical Application, you might also be interested in:

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