Review Topics
Practice Exams
Work on your penmanship. The scorers never appreciated my buffalo scratch.

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!

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.