Series 63: Commissions

Taken from our Series 63 Online Guide

Commissions

Unlike investment advisers, broker-dealers and agents are not paid as a percentage of assets under management. Instead, they are paid through commissions. These commissions must be reasonable and justifiable compared to the services performed. Additionally, agents and broker-dealers should not charge un

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The manuals make the process of wading through all the material much more enjoyable. Ordinarily, this stuff would not be entertaining to study, but even a serious person like me could be heard laughing out loud occasionally. The on-line testing was very convenient, and being able to refer back to the missed questions was very helpful. Best of all, I passed both the 6 and 63 on the first attempt!

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