Series 6: Exercise

Advisory

Estate

JTIC (joint tenants in common)

JTWROS (joint tenants with rights of survivorship)

Partnership

Prime brokerage

TOD (transfer on death)

UGMA (Uniform Gifts to Minors Account)

1. When opening a/n _____ account, a customer must sign an agreement identifying all executing brokers for the account.

2. A/n _____ account is an account for an unincorporated business structure for which each partner must sign the account agreement.

3. An account where one custodian manages the assets for a minor is known as a/n _____ account.

4. In a/n _____ account, the assets of the account pass to the surviving member or members upon the death of an accountholder.

5. In order to make trad