Series63 Exam Dumps | After passing the necessary exams, you must submit which of the following to the state Administrator

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FINRA.Series63.v2023-12-18.q101
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Question 50/101

After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?

A. U-4

B. Form ADV

C. a recent photograph of yourself

D. proof that you meet the state's minimum net capital requirement

Correct Answer: A

Explanation
When applying for registration as an agent, you will need to submit a U-4. No photograph is necessary. Form ADV is used to register as an investment adviser, and only broker-dealers and investment advisers must meet the state's minimum net capital requirement.

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