Series 7: 14.6.3 Advisory Accounts

Taken from our Series 7 Top-off Online Guide

14.6.3 Advisory Accounts

An investment adviser is a person or entity that advises people on their investments for a fee. Investment advisers often open accounts at broker-dealers to buy and sell securities for the customer. Investment advisers are considered fiduciaries and must therefore put their customers’ interests before t

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 14.6.3 Advisory Accounts, you might also be interested in:

SIE - 7.3.2.4.2. Important Coincident Indicators

Series 51 - Municipal Fund Disclosures

Series 53 - Recordkeeping Requirements

Series 50 - Kinds of 529 Plans

Series 24 - Auction Markets

Series 24 - Communications Regarding Variable Insurance Products

Series 3 - 2.2.1.1. Speculating and Hedging with Eurodollar Futures

Series 66 - Exercise

Series 22 - 6.6.2.4. Restrictions and Heightened Supervision During the Appeals Process

Series 28 - Reduction of Business

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

Just passed the Series 7 on the first attempt! Many questions on the FINRA exam forced me to consider scenarios from a different perspective, and the conceptual understanding the Solomon materials and study plan facilitated allowed me to apply my knowledge appropriately. If I need another license in the future, I'll rely on Solomon to help me prepare.

Dave Stakland Cambridge Investment Research Fairfield, IA

I found encouragement along the way from reading other people's testimonials, so payback is to write one of my own. Solomon is the gold standard for customer service. I passed the 66, SIE first tries -- received a 69% on the 7 (failed), but passed on the 2nd attempt. I'm in awe over the outreach I received from day 1 but especially from Jeremy on how to move forward after falling short on the Series 7 - followed his advice - one of which was to get the accompanying videos and passed. Watching/studying the Chapter 5 video had a big impact. I also printed the questions I got wrong that I particularly struggled with while taking the online exams, printed and/or turned them into flashcards, then taped many of them around the house. It forced me to constantly revisit the information and moved me past a superficial understanding. I'll take a messy-looking home for a short time than having to retake a 3 hour and 45 minute exam.

Brook Langston, Everspire. Salt Lake City, UT

I passed first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

Just passed the series 7 today! Solomon was a huge help, as I used the practice exams exclusively. When preparing for this exam, make sure to allocate ~70% of your time on compliance, opening accounts etc. Looking forward to passing the series 66. I will continue using Solomon!

Blake Rossman, True Wealth Financial Partners. Fircrest, WA

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!