Series 14: 7.3.5.4. Verification By Principal

Taken from our Series 14 Online Guide

7.3.5.4. Verification by Principal

Before signing Form U4 for submission, a principal must verify the applicant’s employment for the prior three years and attest to the character and reputation of the applicant.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.3.5.4. Verification By Principal, you might also be interested in:

Series 50 - Rebate Payments

Series 79 - 11.2.12. Preparing Marketing Documents

Series 99 - 3.3.4.1 Nonpublic Personal Information (NPI)

Series 28 - FINRA Recordkeeping Requirements

Series 52 - Exercise

Series 53 - Transfer Validation

Series 50 - Underwriter Exclusion

SIE - Put Features

Series 54 - 3.3.2. G-20 Recordkeeping Requirements

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

The Solomon Exam Prep helped me pass the Series 7. The material is precise to the questions in the exam. The people at Solomon provided great assistance and communication.

June Cusack, Philadelphia, PA

The Series 79 can be quite tricky, thankfully Solomon Exam Prep had practice test questions that were just as tricky. Solomon's Test Prep is definitely effective and is less expensive than other Test Prep companies.

Justin Jeangerard, Sundial Group, Ft. Lauderdale, FL

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

The support behind Solomon Exam Prep is like no other. I lean heavily on a few people there and they always come through for me every time! Passed my 6 last Friday. Heading into my 63. I highly recommend Solomon Exam Prep!

Andee McNabb, Allstate, North Plains, OR

Solomon Exam Prep was very thorough and prepared me not only for the SIE, but the practice questions were so in-depth I now feel prepared for the Series-7 top-off as well.

Steven Laesser, Raymond James, Saint Petersburg, FL