Halloween Special Limited Time 65% Discount Offer - Ends in 0d 00h 00m 00s - Coupon code: ac4s65

Which of the following compensation arrangements between an investment adviser and an individual client with...

FINRA Series-63 Full Course Access
FINRA Series-63 View All Questions

Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A.

The client agrees to pay the investment adviser an hourly fee of $60.00.

B.

The investment adviser will receive 0.1% of the total value of the client’s assets under management as of the end of each month.

C.

The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.

D.

All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.

Series-63 PDF/Engine
  • Printable Format
  • Value of Money
  • 100% Pass Assurance
  • Verified Answers
  • Researched by Industry Experts
  • Based on Real Exams Scenarios
  • 100% Real Questions
buy now Series-63 pdf
Get 65% Discount on All Products, Use Coupon: "ac4s65"
Next
Which of the following may be given to prospective investors during the “cooling off period?
Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that...
Previous