Series 51: Customer Requests For Information

Taken from our Series 51 Online Guide

Customer Requests for Information

If a customer requests any information pursuant to statements that are required to be included in a confirmation, the dealer must provide the information within five business days of receipt of the request. However, if the transaction was executed more than 30 calendar days prior to the request, the dealer is allowed 15 business days to provide the information to the customer.

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Using Solomon was very helpful. The exam simulator tests were great, but I should have spent a little more time re-reading the chapters. Passed (Series 51) on my first try.

Kelli Lanino, Raymond James Financial Riverhead, NY

I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA

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Michael

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Margaret Chen, PFS Investment, Duluth, GA