Series-6 Dumps FINRA
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PDF Series-6 Dumps Exam Question 1
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 firm’s 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. White’s employees must register as investment adviser representatives under
the Investment Advisers Act of 1940?
PDF Series-6 Dumps Exam Question 4
Phil Anthropy wrote his cousin a $15,000 check to pay for medical bills the cousin had accumulated. He also distributed $5,000 checks to three nephews who were in college, and gave his mother a check for $12,000. Have Phil’s actions triggered any gift taxes?