Series63 Exam Dumps | Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers,

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Uniform Securities Agent State Law Examination
FINRA.Series63.v2023-12-18.q101
Question 62

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Question 62/101

Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties.
Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?

A. Larry only

B. Larry and Mary only

C. Larry, Mary and Curly

D. Mary and Curly only

Correct Answer: A

Explanation
As a director of the firm, Larry would automatically be registered as an investment adviser representative of MoeMoney Investment Advisers. Although directors and officers of the firm are automatically registered as investment adviser representatives, Mary, as a salesrepresentative, would have to apply for her own registration. Curly does not need to be registered since he performs only clerical duties.

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