Question: Is it acceptable for a person to be simultaneously registered as an investment adviser representative and an agent of a broker-dealer? QID: 5069093Mark For Review

Is it acceptable for a person to be simultaneously registered as an investment adviser representative and an agent of a broker-dealer? QID: 5069093Mark For Review A Yes, provided the applications have been filed, appropriate fees have been paid, and the qualifying examinations have been passed. B No, this is prohibited because it violates the interstate commerce clause of the Uniform Securities Act. C No, this is prohibited because it violates an investment adviser's fiduciary duty. D Yes, provided FINRA and the state Administrator(s) approve of the arrangement

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