Series 82: Four-Year Records

Taken from our Series 82 Top-off Online Guide

Four-Year Records

Customer complaint records shall be kept at the Office of Supervisory Jurisdiction under whose jurisdiction the complaint was filed and maintained for at least four years.

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: Four-Year Records, you might also be interested in:

Series 6 - 8.1.2. Margin Accounts

Series 7 - 10.3.3. Implications of the CAPM

SIE - 3.1.3.2. Mutual Fund Shares (A, B, and C Shares)

Series 66 - Management Companies: Closed-End Funds

Series 26 - Compliance and Exemption Reports

Series 14 - 7.1. FINRA’s Role

Series 66 - 1.1.1.1. Gross Profit

Series 79 - A1.5.1. Common Stock

Series 82 - 4.2. Interfering with Customer Account Transfers

Series 53 - Comparison and Verification of Confirmations

Series 66 - Unauthorized Principal Transactions

Series 66 - 7.10.5.3. Reasons for Disciplining an Adviser, IAR, Broker-Dealer, or Agent

Series 3 - Chapter One

Series 3 - 4.1.8. Margin Requirements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the Series 82 just four weeks after passing the SIE. I followed the study plan, took tons of the great practice tests, got great advice from Karen, and everything worked out well. It was literally the perfect test prep experience. The materials themselves were not overly long as with other groups, it was the exactly right amount, and the Exam Simulator is just awesome, best one of its kind I've ever used. 100% rating. Thank you, Solomon!

Jonathan Roth, DAK Capital/DAK Group, Rochelle Park, NJ

I successfully passed on the first attempt my Series 82 exam today after using the Solomon Exam Prep course. It is an excellent online study tool. The entire suite of exam prep offerings were very helpful as I could study at my own pace and customize my learning. I used the flashcards, quick and longer exams simulations and found the "Fast Facts" extremely useful as a final prep summary. I would highly recommend Solomon Exam Prep to anyone either just entering the securities industry or adding new licenses during their career.

Michael Ryan, Growth Capital Services. San Francisco, CA

The online exam simulator was essential to helping me pass the Series 82 on my first attempt!! Have always used Kaplan for previous FINRA exams, so didn't know what to expect at first, but I was definitely prepared for this exam! Great job to everyone at Solomon, especially the exam writers !!

Luke Garcia, Capital Group, West Chester, PA

Dear Solomon Exam Prep, Thank you for your great exam prep materials for the Series 82 Top-Off Exam...I recently took it and passed.

Mordechai Slovin, Palladium Capital Advisors, Israel

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC