Series 63: 2.3. Agents Of Broker-Dealers And Agents Of Issuers

Taken from our Series 63 Online Guide

2.3. Agents of Broker-Dealers and Agents of Issuers

An agent’s relationship to a broker-dealer or issuer of securities is nearly identical to the relationship that an IAR has to the investment advisory firm that employs him. Remember that the broker-dealer or investment adviser is generally a firm; the agent or investment adviser representative is an individual who represents the firm. For the agent this means that he is essentially the

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 2.3. Agents Of Broker-Dealers And Agents Of Issuers, you might also be interested in:

Series 54 - 1.3.5. Indirect Advice

Series 79 - Chapter Nine

Series 7 - 2.9 Unsecured Bonds

Series 65 - Exchange Traded Funds (ETFs)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

I passed with flying colors. Made an 83. Your material is awesome. I could not have done it without it. The book is a great start and then the online exam simulator seals the deal. Thanks for all your help...and especially for jumping to my aid over the weekend.

David Latham, Butler Snow Advisory Services, Ridgeland, MS

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

Solomon Exam Prep offers everything you need to succeed in passing the 6 & 63 exams. The textbooks were easy to follow and study by. The online practice exams really were instrumental and my success. Thank you.

Fran Piegari, AllState, Dallas, TX

Your "Pass the 7" guide and practice questions helped my studying immensely, and I passed the exam the first time. I am currently using the "Pass the 63" guide and practice questions - the teaching style makes the learning experience much more interesting! I will definitely recommend your products to my friends and colleagues. Thank you so much!

Patrick Chen, Midtown Partners, New York, NY

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA