Question

Which of the following is NOT allowed under the Uniform Securities Act?A. An agent registered with a broker-dealer also is a licensed insurance agent at a life insurance companyB. An agent registered with a broker-dealer also is a licensed real estate agent at a real estate companyC. An agent registered with a broker-dealer is licensed as an agent for a mutual fund dealerD. An agent is registered with two affiliated broker-dealers who have an office in the same location

Answer 1

C. An agent registered with a broker-dealer is licensed as an agent for a mutual fund dealer.