Series 14: 5.1.2. Branch Office

Taken from our Series 14 Online Guide

5.1.2. Branch Office

A branch office is any location where one or more associated employees are in the business of soliciting or effecting (but not executing) the purchase or sale of any security. An office responsible for supervising the activities of employees at one or more non-branch locations of the member firm is also designated a branch office.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.2. Branch Office, you might also be interested in:

Series 52 - 8.4.1. SEC Rules

Series 7 - 3.1 A Quick History of Municipal Securities Regulation

Series 7 - 13.1.4. Restrictions on Payments to Unregistered Persons

Series 3 - 4.1.8.2. Futures Options

Series 82 - 3.3.4.4. High-Yield or Junk Bonds

Series 24 - Rule 144—Resales of Restricted and Control Securities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

I had previously used a competitors material while preparing for the Series 52 exam. Using that material I failed the exam twice and both times I felt unprepared even after studying a ton. I switched to Solomon after reading reviews that seemed to be similar to my scenario. I finally passed!! Solomon's material did a great job of simplifying really complex material. The practice exams were very similar to the real exam. While taking the exam for the third time after studying with Solomon I felt confident the entire exam because I knew the information and had seen questions formatted similar while taking practice exams. Thanks Solomon!!!

Sara Brady McGinn FIRM: Raymond James Memphis, TN

I passed the Series 65 on the first try and I would absolutely give credit to this tool. We all learn in vastly different ways, so having the options available for a study guide, audiobook, video training, flash cards, practice tests - and ALL of the other resources available was critical to my success. I've been out of school for over a decade and remembering HOW to study was hard. I'm so glad I had all of these options.

Ashley Dunning, Inspire Investing. Kansas City, MO

Thanks! I just passed my series 26 exam! Your material really helped!

Kevin Chambers

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

Passed that bad boy (Series 79) weeks ago with an 86, kicked its ass. I hate leaving that much room, means I wasted time. Thanks for everything.

Jeff S., Upper Nyack, NY