Series 28: Financial And Operations

Taken from our Series 28 Online Guide

Financial and Operations

FINRA requires all member firms and all firms applying for membership (other than sole proprietorships) to have at least two registered principals with respect to each aspect of the firm’s securities business. In general, FINRA members must also have at least one principal who is qualified as a Limited Principal—Financial and Operations. A Financial

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I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

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

I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

Just passed the Series 26! As a new mom, I relied heavily on the Audiobooks and being able to read or test on my iPad whenever I could. The material was accurate and I felt well-prepared after following the suggested study schedule.

Usha Sharma, Transamerica, West Covina, CA

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

I passed the Series 26 exam last Thursday. As a Physician with very limited time to sit and study, I listened to the CDs over and over again as I drove to and from work, and that really helped me. I will be ordering the Series 65 materials soon.

Daniel Asiedu, PFS Investments, Lincoln, RI