Series 63: Client Confidentiality

Taken from our Series 63 Online Guide

Client Confidentiality

Few things can screw up relationships like money. It can change people’s motivations, undermine their trust, and call into question their intentions. That’s why many clients are more apt to talk about their love life than their financial life.

To help protect client confidentiality, the NASAA places a high

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Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

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Idette Campos, Licensed Personal Banker & Small Business Specialist, JP Morgan Chase, Chula Vista, CA

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