Series 27: Account Transfers

Taken from our Series 27 Online Guide

Account Transfers

Sometimes a client will wish to transfer an account from one brokerage firm to another. The client will initiate the process by filling out a Transfer Initiation Form (TIF) and sending it to the firm to which the client wishes to transfer. The new firm is referred to as the receiving firm because it will be receiving the new customer.

The receiving firm must immediately send a request-to-transfer to the cl

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Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

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Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

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