SIE practice questionmediumAccount Documentation
Which piece of information is NOT required to open a standard individual brokerage account?
- ASocial Security or taxpayer ID number
- BDate of birth
- CSpouse’s investment history (if unmarried)✓ Correct answer
- DPhysical address
Explanation
Why C — Spouse’s investment history (if unmarried)
A customer opening an individual account must provide personal information, including DOB, SSN or TIN, and address. Spouse’s investment history is only needed for joint accounts or may not be needed at all for individual accounts.
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