Series 27: Three-Year Minimum

Taken from our Series 27 Online Guide

Three-Year Minimum

Applications for employment of all associated persons must be preserved until at least three years after the person’s employment has been terminated.

Fingerprint records for everyone associated with a member firm, including each of its partners, directors, officers, and employees must, like employment applications, be kept until three years after employment is

+ Read More

More Series 27 Info

What are people saying?

Create an Account

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

Series 66 - 3.3. Unit Investment Trusts

Series 26 - FINRA Adjudicatory Rules

Series 66 - Participating Preferred Stock

Series 24 - Office of Supervisory Jurisdiction

Series 24 - FINRA Membership

Series 66 - Exercise

Series 50 - Trust Indenture

Series 99 - 1.2.1.4 Entities Authorized to Transact Business in the Account

Series 53 - Exercise

Series 66 - Tax Basis on Shares After a Stock Split

Series 26 - Withdrawal Plans

Series 79 - General Unsecured Claims

Series 28 - Non-Marketable Securities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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 studied for the Series 6 with the STC material and failed the exam. I then was provided with the Solomon material and passed! The Solomon material aligned very nicely with the actual exam which was very helpful. Also, Their customer service is out of this world! The President of the company even helped visa email and phone calls with study recommendations. I am now going to use their study material as I prepare for the Series 63. I LOVE Solomon! Thank you so much for your care, support and guidance. I have also recommended that our company use the Solomon material for all exams.

Valerie Nolan, Cetera, Forest Grove, OR

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

Your Series 79 book was great and your practice questions were spot-on. I passed the first time. Thanks!

Stephen Hsu, Los Angeles, CA