Series 65: Client Confidentiality

Taken from our Series 65 Online Guide

Client Confidentiality

Few things can screw up relationships like money. It can change people’s motivations, undermine their trust, and call into question their intentions. That’s why many clients are more apt to talk about their love life than their financial life.

To help protect client confidentiality, the NASAA places a hig

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Client Confidentiality, you might also be interested in:

Series 65 - 2.1.1.2. Right to Vote on Relevant Matters

SIE - Individual Income Tax System

Series 66 - 8.1.2.5.1. Notice Filing for Crowdfunding Offerings

Series 82 - Exercise

Series 52 - 7.4.2.3. Reserve Requirements

Series 65 - 5.2.5 Non-Financial Investment Considerations

Series 7 - 2.10.4 Eurobonds and Eurodollar Bonds

Series 26 - Investment Analysis Tools

Series 50 - Short- and Long-Term Capital Gains

Series 79 - 10.4.1. Types of Private Placements

Series 50 - De Minimis Exception

Series 14 - 7.3.2. Representatives

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX

I wanted to add my testimonial to the long list of successful test-takers. Passed my Series 65 today on the first try! The materials were well written and made the concepts easier to understand (especially to someone with no background in finance like myself). I was a big fan of the audio format as I have a long drive back and forth to work (other test prep providers did not have this option). The test simulators were also a huge help. Thanks to the folks at Solomon Prep!

Ralph Marshall, High Speed Alliance, Wilmington DE

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

Most Sincerely,

David Hartzell

Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 65: Client Confidentiality

Taken from our Series 65 Online Guide

Client Confidentiality

Since you're reading about Series 65: Client Confidentiality, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →