Financial and Operations Principal (Series 27)
A financial and operations principal (FINOP) is another required principal for brokers, dealers, and municipal securities dealers. FINOPs are responsible for the preparation and approval of financial reports, the maintenance of books and records, compliance with the financial responsibility rules, supervision of clearance functions, and supervision of safekeeping functions.
FINOPs must pass the Series 27 exam.
Exercise
Match the associated person to the appropriate qualifying exam.
A. Series 52 exam, or Series 7 exam if taken before November 2011B. Series 51 examC. Series 9/10 examD. Series 27 exam
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Margaret Chen, PFS Investment, Duluth, GA
Using Solomon was very helpful. The exam simulator tests were great, but I should have spent a little more time re-reading the chapters. Passed (Series 51) on my first try.
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Raymond James Financial
Riverhead, NY
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Michael
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Briana Turner, Cambridge Investment Research. Virginia Beach, VA
I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.
Katrina Jackson, Cambridge Investment Research, Fairfield, IA
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