Series Exams Flashcards
1
Q
Series 79
A
Investment Banking Representative
2
Q
Series 39
A
Direct Participation Programs Limited Principal
3
Q
Series 24
A
General Securities Principal
4
Q
Series 82
A
Private Securities Offerings Representative
5
Q
Series 6
A
Investment Company and Variable Contracts Products Representative
6
Q
Series 57
A
Securities Trader Representative
7
Q
Series 51
A
Municipal Fund Securities Limited Principal
8
Q
Series 27
A
Financial and Operations Principal
9
Q
Series 14
A
Compliance Officer
10
Q
Series 9/10
A
General Securities Sales Supervisor
11
Q
Series 52
A
Municipal Securities Representative
12
Q
Series 53
A
Municipal Securities Principal
13
Q
Series 4
A
Registered Options Principal
14
Q
Series 26
A
Investment Company Products/Variable Contracts Limited Principal
15
Q
Series 16
A
Supervisory Analyst
