Series 63: Termination Of An IAR

Taken from our Series 63 Online Guide

Termination of an IAR

Because investment adviser representatives actually work for an investment adviser as an employee or associate, they tend to come and go more frequently than actual investment advisers. That’s not hard to imagine, since professionals are constantly being hired and fired from firms, as well as changing jobs or switching firms for their own reasons.

In al

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Termination Of An IAR, you might also be interested in:

Series 51 - Transfer Execution

Series 26 - Customer Accounts

Series 7 - 17.4.2.3. Size of Orders

Series 53 - Nominal Bids

Series 51 - Rule G-9—Retention Periods for Books and Records

Series 63 - C.4 Testimonials and Endorsements

Series 65 - 2.3.5.4. Callable Preferred Stock

Series 26 - Investment Company Rankings

Series 63 - 3.1.4.2. Section 402(b) Exemptions

Series 66 - 9.2.7. Paying Solicitors for Advisory Business

Series 51 - LGIP Operations and Fees

Series 22 - Civil Liability for False Registration Statements

Series 14 - 5.1.4.3. Supervisory Qualifications

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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.

David Vande Casteele, Managing Director, John Davenport & Associates LLC

I passed the Series 63 exam yesterday. Thanks for your help and everyone at Solomon. You guys are great!!!

Tom Armstrong, Berliner Cohen, San Jose, CA

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX

Thank you very much!! I have to say your books and online quizzes are the best! They helped me pass my Series 6 (after failing twice with other study materials) and passing my Series 63 the first time! Thanks again!

Bernadette Reyes

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

I used Solomon Exam Prep for both the 6 and the 63 and passed both of them on the first try. For the Series 6 I scored a 92 and for the Series 63 I scored a 75. The book was very insightful and helped quite a bit with passing, so thank you to your company.

Austin Kurey, Denver, CO