SIE: Verification By Principal

Taken from our SIE Online Guide

Verification by Principal

Before signing Form U4, a principal must verify the applicant’s employment for the prior three years and attest to her character and reputation.

Once a person files a Form U4 with FINRA, it is entered into the CRD, but the registration does not become valid until the person passes the appropriate qualification exam.

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Verification By Principal, you might also be interested in:

Series 66 - Contributions and Withdrawals

Series 14 - 1.8.2. Code of Mediation

Series 50 - Pension Liabilities

Series 7 - 5.2.5. Volume and Open Interest

Series 24 - Management Company Rules

Series 52 - 1.6.2. 529 Education Savings Plans

Series 24 - The Arbitration Process

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The (SIE) exam was tough, but I was well prepared after studying with the Solomon Exam Prep guides. Having a set study schedule made this much easier to follow along. I'll definitely be using Solomon for my Series 6 and 63 exams!

Matthew Bird, Lincoln Investment. Liverpool, NY.

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

Excellent exam preparation! Passed on my 1st attempt! SIE EXAM DO LOTS OF PRACTICE EXAMS, AND FLASHCARDS. I found the real exam question easier than the Solomon's ones. Thank you!

Gil Malamut, Prudential. New York, NY

When I first signed up for the SIE I was overwhelmed. The topic range was so broad. I began studying the study guide and listened to the audiobook. I also watched the video lectures. The information began to sink in. What really put me over the top was when I signed up for and attended the live class. Our instructor, JD Page, helped me to remember the most important pieces of information for the test. He not only gave us facts, but the reasons behind the facts. It really helped to cement the material into my mind. When I went in for the SIE Exam, I was able to move through the questions quickly and even had enough time to go through every question again. Thank you Solomon Test Prep!

Jason Vreeke CoreCap Investments LLC High Point, NC

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT