Question

A registered representative recommend several securities that he deems suitable for the customer. The customary Jack's all of these recommendations and makes a request to place an order for a security that the agent feels is unsuitable. What should you do?

Answer 1

The agent should explain their concerns about the unsuitable security and provide alternative options that are more suitable for the customer.

Step-by-step explanation:

In the scenario described, where a customer wants to place an order for a security that the agent feels is unsuitable, it is important for the agent to act in the best interest of the customer. The agent should explain their concerns about the security and provide alternative options that are deemed more suitable based on the customer's goals, risk tolerance, and investment objectives. It is crucial for the agent to have open and honest communication with the customer to ensure their investment choices align with their financial needs.