Podcast
Play an AI-generated podcast conversation about this lesson
Download our mobile app to listen on the go
Get App
Questions and Answers
Who can use the term 'financial advisor' according to FINRA?
Who can use the term 'financial advisor' according to FINRA?
- Insurance agents (correct)
- Stock traders
- Real estate agents
- Bank tellers
Where can details of formal compliance issues be found?
Where can details of formal compliance issues be found?
- IAPD website (correct)
- Series 7 website
- FINRA website
- Onesta
What qualifications does a financial adviser in the United States need to carry?
What qualifications does a financial adviser in the United States need to carry?
- Series 7 and Series 67
- Series 8 and Series 67
- Series 7 and Series 66 or Series 65 (correct)
- Series 8 and Series 66 or Series 65
What does a financial advisor do?
What does a financial advisor do?
Signup and view all the answers
What must financial advisors in many countries complete and be registered with?
What must financial advisors in many countries complete and be registered with?
Signup and view all the answers
Flashcards are hidden until you start studying
