State Or Fed Registration? Flashcards
(4 cards)
1
Q
IA
no place of business in state
advises wealthy customers in state on a fee basis only
A
State required
2
Q
IA
Place of business in state
Total fee income in state is $150
A
State required
3
Q
IA
No place of business in state
Advice on only fixed annuities
A
None required
4
Q
A
