Câu 66: SERIES-63: Uniform Securities State Law Examination

Which of the following describes an investment adviser that is not required to register with the state Administrator?

1. A. MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
2. B. Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
3. C. CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.
4. D. Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state. — đáp án hiện tại