Series 65: Exercise

Exercise

Choose IA or not an IA

1. 1. _ Jim, who works for Your Interest, a firm that receives compensation for giving investment advice.
2. 2. _ Silvia, who teaches a class at a community college, which includes several classes involving general strategies for financial investment.
3. 3. _ Valued Services, a broker-dealer firm that pays its employees a commission for securities traded, as well as occasional compensation for giving advice on which investments are best suited for clients’ portfolios.
4. 4. _ Investments Publishing, the publisher of a subscription-based interactive website with a component that allows investors to enter personal information and receive advice that matches their needs.
5. 5. _ Beth, an agent for Security Group, who gives investment advice but is only compensated for effecting transactions.

Answers

1. 1. No