Series 6: 2.1.3.1. Customer Identification Verification

Taken from our Series 6 Top-off Online Guide

2.1.3.1. Customer Identification Verification

A broker-dealer must establish and maintain a written Customer Identification Program (CIP) as part of the government’s anti–money laundering compliance program.

The USA PATRIOT Act requires member firms to use the name, address, date of birth, and Social Security number or tax identification number to independently verify

+ Read More

More Series 6 Info

What are people saying?

Create an Account

Since you're reading about Series 6: 2.1.3.1. Customer Identification Verification, you might also be interested in:

Series 14 - 3.2.2.2. Alternative: Schedule 13G

Series 52 - 9.2.8. Interest Payment Claims

Series 53 - Customer Account Transfers

Series 66 - 3.1.4.1 Shareholder Voting Rights

Series 6 - Chapter 6 Practice Question Answers

Series 99 - 1.2.2.7.3 Other Information on Margin Accounts

Series 50 - Swaptions

Series 24 - Day-Trading Accounts

Series 24 - 2.2.1.4.1. Bank Secrecy Act (1970)

Series 99 - 2.3.2.3 Permissible Use of Customers’ Securities

Series 63 - Exercise

Series 66 - 3.6.2 Equity-Indexed Annuities

Series 54 - Introduction

Series 65 - Options Strategies

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

I have now used Solomon for the SIE, series 6, and 63. I am ordering my 7 materials now. The structure and resources are right on target. The practice exams are more difficult than the exam which makes taking the exam much easier. I give all of the credit to Solomon for my 100% pass rate so far. I recommend Solomon to all of my coworkers.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Thanks so much for your great product. I recently used for the Series 6 and took a month to study and passed. I previously used another provider and didn't pass.

K Francis, Allstate, Sugar Land,TX