Câu 98: SERIES-6: Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

Mr. Bashful, Mr. Sleepy, Mr. Doc, Mr. Grumpy, Mr. Sneezy, and Mr. Happy are all employees of S. White Investment Advisers. Mr. Doc, Mr. Sneezy, and Mr. Happy give investment advice to the firms clients and manage their portfolios. Mr. Sleepy greets clients and makes cold calls to solicit more business for the firm.Mr. Bashful performs general clerical services, such as filing. Mr. Grumpy is the office manager and is the direct supervisor of the other five employees. Which of S. Whites employees must register as investment adviser representatives under the Investment Advisers Act of 1940?

1. A. only Mr. Grumpy
2. B. Mr. Grumpy, Mr. Doc, Mr. Sneezy, and Mr. Happy
3. C. Mr. Grumpy, Mr. Doc, Mr. Sneezy, Mr. Happy, and Mr. Sleepy — đáp án hiện tại
4. D. All of them must register as investment adviser representatives.