Series 14: 7.3.2.2. Investment Adviser Representatives

Taken from our Series 14 Online Guide

7.3.2.2. Investment Adviser Representatives

Investment adviser representatives must take and pass the Series 65 Uniform Investment Adviser Law Exam as a prerequisite to becoming registered. Applicants must file a Form U4 through their investment adviser employer over the SEC’s Central Registrati

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.3.2.2. Investment Adviser Representatives, you might also be interested in:

Series 24 - 2.8.5.6. Form Custody

SIE - Other Account Documentation

Series 82 - Three-Year Records

Series 66 - 4.3.1.3. Implications of the CAPM

Series 53 - Key Documents

Series 63 - Exercise

Series 7 - 11.1.6 Retail Communications that Include a Recommendation

Series 66 - Refunding of Bonds

Series 65 - Alternative Plans for Educational Savings

Series 65 - Stepped-Up Tax Basis on Inherited Securities

Series 63 - 4.4.1.3. Taking Orders in Client Accounts

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

Thank you so much Solomon Exam Prep. I took the SIE exam today and passed it the first try. Couldn't have done it without your help. Thank you again.

Cathy Villano, Eastchester, NY

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT

Solomon's study materials and practice exam helped prepare me quickly and made me confident going into the SIE exam. I'm happy to have used their services and highly recommend their products for the SIE exam.

Kevin Ramani. Boston, MA