Series 14: 4.1.3.2. Introducing Broker-Dealers

Taken from our Series 14 Online Guide

4.1.3.2. Introducing Broker-Dealers

As discussed in Chapter 3, introducing firms, also called fully disclosed firms, keep customer accounts but do not hold customer funds or securities or carry customer accounts themselves. Instead, they have an arrangement with a clearing, or carrying, firm to maintain custody of their

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.3.2. Introducing Broker-Dealers, you might also be interested in:

Series 24 - Coverdell Education Savings Account

Series 3 - 2.1.2.2. The Primary and Secondary Markets

Series 65 - Individual and Joint Accounts

Series 28 - Securities Haircuts

Series 24 - Rule 15g-9– Sale Requirements

Series 65 - Chapter Three: Investment Companies and Life Insurance Products

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

For the Series 6 exam, I used the Solomon 4-week study schedule. I really didn't do anything special, I just stuck to the study schedule each day. I used the app on my phone quite a bit for convenience.

The Solomon Live Class was timed perfectly one week prior to my exam, so it turned out to be somewhat of a review session, which is what I had hoped it would be. The concepts covered in the Live Class were helpful because McCallister broke them down into plain English and real-world examples.

The one place I varied from the study schedule was in the number of times I took the Exam Simulator. I took the Exam Simulator Practice Test 36 times and monitored my Pass Probability. Once I had my Pass Probability at 90%, I felt I was ready.

Arthur Priddy, Farmers Insurance. Jackson, Tennessee

Thank you so much Solomon Exam Prep. I took the SIE exam today and passed it the first try. Couldn't have done it without your help. Thank you again.

Cathy Villano, Eastchester, NY

Passed the SIE on my first attempt! Read the Kaplan study book and didn’t feel prepared enough to pass the exam. Stumbled upon Solomon exam prep and am so thankful I did. The exam simulator with the detailed answers did so much more to help me prepare. Went into the exam confident and passed. I’ll be back for the Series 7!

John N, Indianapolis IN

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS

I really would like to thank Solomon Exam Prep for helping me pass my Series 63 exam this past Friday! The website is easy to understand and I passed on the first time using their study guide!

Stephanie Oliver, MSRS, Minneapolis, MN

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

Series 14: 4.1.3.2. Introducing Broker-Dealers

Taken from our Series 14 Online Guide

4.1.3.2. Introducing Broker-Dealers

Since you're reading about Series 14: 4.1.3.2. Introducing Broker-Dealers, 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 →