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Question 1: Moe is a registered investment adviser doing business under the name of MoeMoney
Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of
directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs
clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are
automatically registered as investment adviser representatives?
A. Larry only
B. Larry and Mary only
C. Larry, Mary and Curly
D. Mary and Curly only
Correct Answer: A
Explanation: As a director of the firm, Larry would automatically be registered as an investment
adviser
representative of MoeMoney Investment Advisers. Although directors and officers of the firm are
automatically registered as investment adviser representatives, Mary, as a sales representative,
would
have to apply for her own registration. Curly does not need to be registered since he performs only
clerical
duties.
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