Series 65: Branch Office

Taken from our Series 65 - NASAA Uniform Investment Advisor Law Exam

Definition of the term Branch Office...

any location where one or more associated employees is in the business of soliciting or effecting (but not executing) the purchase or sale of any security. An office responsible for supervising the activities of employees at one or more non-branch locations of the member firm is also designated a branch office.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

We have an excellent Audiobook for the Series 65!

Since you're reading about Series 65: Branch Office, you might also be interested in:

Series 65 - fiduciary duty

Series 52 - securities record

Series 26 - distribution fees

Series 79 - yield to maturity (YTM)

Series 63 - 5% Policy

Series 28 - anti-money laundering rules

Series 66 - insider trading

Series 99 - annuities

Series 6 - executing brokers

Series 26 - institutional investor

Series 65 - interest rate risk

Series 52 - regulatory element

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

Michael, CPA, Registered Representative

My name is Michael Urbanski, CPA and I was able to pass the Series 65 exam on my first attempt. For me, I like to study from all the credible resources I can find. Using exam simulators and exposing yourself to as many sample exam questions helps to learn how an exam is written. I would recommend using these materials to help YOU pass the exams you chose to sit for.

Michael Urbanski, CPA Toledo, OH

I recently passed the Series 65 exam, really recommend this study material. I used other vendors before with no success; this is the best in the market. Thanks so much!

Mauricio Reyes. Boca Raton, FL

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA

My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

Most Sincerely,

David Hartzell

Cornell Capital Management

David Hartzell, Cornell Capital Management, New York