Series 66: 4.1.3.3 Advisory Accounts

Taken from our Series 66 Online Guide

4.1.3.3 Advisory Accounts

An investment adviser is a person or entity that advises people on their investments for a fee. Investment advisers often open accounts at broker-dealers to buy and sell securities for the client. Investment advisers are considered fiduciaries and must, therefore, put their clients’ interests before

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I used Solomon Exam Prep for both the Series 7 and the 66 which I took within a couple of months of each other. I smoked both tests with an 85% and an 88%. Well above the passing score. The books have just enough humor to keep things interesting and the practice tests and quizzes are phenomenal. If you want to get the most out of these programs pound out as many practice test as you can.

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Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66