Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

Post-Registration Requirements

Agents are not subject to as many post-registration requirements as the broker-dealers they represent, but they are expected to help their broker-dealers meet all recordkeeping requirements and comply with all audits as needed. Agents are responsible for meeting any conditions for ongoing registration set by their state, however, and providing any documentation needed as evidence of meeting such conditions.

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The products and support provided by Solomon Exam Prep was exactly what I needed to pass my Series 63 the first time. The reading materials where actually enjoyable due in part to easy to understand explanations. Unlike most of the competitors offerings which are perfect for insomniacs, these materials are engaging and the test questions are harder than I experienced on the exam. Additionally, the on-line testing simulator is a fabulous addition to the package. Not only do you have an opportunity to take a self paced approach but also as you come to the final days of prep, there is a timed environment that helps you establish a pace that is a real plus on exam day. The real-time support when I had a question or concern was the last extraordinary plus of this packaged solution. I received responses if not in minutes certainly within the day. I recommend these products to all of my associates and to you.

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