Series 28: Limited Principal—Introducing Broker-Dealer Financial And Operations

Taken from our Series 28 Online Guide

Limited Principal—Introducing Broker-Dealer Financial and Operations

A FINOP for an introducing broker-dealer must qualify as an Introducing Broker Financial and Operations Principal, one of whom must perform the duties of chief financial officer. The FINOP registers as a Limited Principal—Introducing Brok

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I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

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Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR