Series 27: Six-Year Minimum

Taken from our Series 27 Online Guide

Six-Year Minimum

Every broker-dealer must preserve any account cards or records relating to the terms and conditions of the opening and maintenance of a customer’s account for not less than six years after the account is closed. All other customer account records must be preserved until at least six years after the date the account is closed, replaced, or updated, whichever is earliest.

SEC Rules 17a-4(c) and (e)

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Six-Year Minimum, you might also be interested in:

Series 27 - Simplified Arbitration

Series 79 - Inventory Valuation

Series 51 - Yield to Put

Series 79 - Limited Liability Companies

Series 65 - 5.2.1.3.1. Sidebar

Series 65 - 6.1.3.3.1. Income Earned Within an Estate Account

Series 14 - 9.1.10. Public Appearances

Series 7 - 4.9.3. Zero Coupon Bonds

Series 65 - Measuring Mutual Fund Performance Against Benchmarks

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

Jeremy and Tim were extremely helpful in helping me get through some of the tricky parts of the Series 50 exam. Your customer service was top notch and I would highly recommend Solomon to anyone sitting for this test.

Joe M, MBS, Inc, Atlanta, GA

Thank you, Solomon! I passed the SIE and am now working on Series 7. Coming from a background outside of Wealth Management and Finance, I found this material very user friendly. I regularly used the iPhone app as well as the online material, followed the study guide and took A LOT of practice tests. I am grateful for the team at Solomon with a special call out to Madi B and Jeremy S who gave me additional support whenever I needed it. I look forward to the Series 7 content as I was very impressed with the SIE content.

Jeremy Johnson, RBC Wealth Management. Green Bay, WI

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

This is my fourth time using Solomon's exam materials (Series 99, 7, 63, and now the 24)....and I PASSED once again on my first try. Thank you Solomon- your exam question simulator was extremely helpful!

Kim Schmidt, Elmcore Securities, Las Vegas