Free Version

Dashboard
Review Topics
Drills
Practice Exams
Flashcards
Vocabulary
Play hard to get with the sexy test answers. We know what we're talking about. Just ask Robeefalette.

Client Assessment

Dashboard > Evaluating Customers > Client Assessment

Client Assessment

“Okay, Shmooge. Let’s take a look at how all this would work out in the real world. Walk me through what you would say to a client and what information you would get from them before recommending any investments.”

Shmooge shrugged. “Who’s the client?”

“Pick any of your clients, anyone you want.”

“Okay,” Shmooge thought for a moment. “Martha Cratchit, my assistant’s daughter. She’s 29.”

“What an awful name.” Homer made a moaning sound. “Makes me want to eat something. ...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

$63.63
Next: FINRA Rule: Fair Dealing with Customers  
  Prev: FINRA Rules

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.