Series 63: Disciplinary Action Against An IAR

Taken from our Series 63 Online Guide

Disciplinary Action against an IAR

As with investment advisers, lifetime registration as an investment adviser representative is by no means guaranteed after someone is initially approved. State approval as an IAR terminates on December 31 of each year. If not properly renewed, an IAR’s registration is revoked. For a full list of reasons registration can be terminated, please see “Termination of an Investment Adviser Registration”. However, for IARs, there is one exception: in the ca

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Disciplinary Action Against An IAR, you might also be interested in:

Series 7 - 15.3.2. Short Selling Rules

Series 7 - 16.4 Rollovers vs. Transfers

Series 66 - 4.5.4 Laddering

Series 50 - Alternative Minimum Tax

Series 28 - Margin Account

Series 79 - Use of a Free Writing Prospectus

Series 50 - Net Debt to Estimated Real Valuation

Series 65 - 1.5.1.2.4. Political Risk

Series 26 - Capital Compliance Rule

Series 51 - Suitability for SMMPs

Series 7 - 3.6.34. Rule G-35—FINRA Arbitration Procedures for Bank Dealers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

I've been using Solomon Exam Preparation materials for my last four Series tests: the Series 82, Series 63, Series 79 and just recently the Series 7. My scores on these tests were 88, 90, 88 and 90. The Solomon texts were comprehensive and easy to read; everything you need to know is in there. But there is so much material that these exams cover that you have to read the texts several times over and take as many practice quizzes and tests as you can until you score in the mid 80's. Then go in for the test. That's what I did. I went in scoring in the mid 80's on practice exams and "peaked" at higher scores while taking the actual tests. You can't do any better than Solomon. I highly recommend them.

Michael McGregor, FOCUS Investment Banking, Charlotte, NC

I recently passed the series 62 & 63 FINRA exams (first try). The practice exams (with never repeating questions), helped prepare me thoroughly for the challenging questions ahead on the actual tests. Thanks Solomon!

Austin Najib, Key West Investments, San Gabriel, CA

I just passed the Series 63 after failed in the first attempt as of January. I had studied with another vendor and after some research, I decided to buy Solomon material. I felt very comfortable with the material since English is my second language. And due to the type of the exam, this was very important. It took me time to make the decision for the 2nd attempt but Karen was important to support and she convinced me. I felt very comfortable till question number 20, after that a bit stressful but be sure that you will know the subjects. Thanks Solomon!!!

Ariel Barroso, MCM. Miami, FL

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

Solomon was my ticket to a passing grade the first time on both exams [Series 79 and Series 63]!

Laura Bumgarner, Houston, Texas