Series 27: Financial And Operations

Taken from our Series 27 Online Guide

Financial and Operations

FINRA requires all member firms and all firms applying for membership (other than sole proprietorships) to have at least two registered principals with respect to each aspect of the firm’s securities business. In general, FINRA members must also have at least one principal who is qualified as a Limited Principal—Financial and Operations. A Financial

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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 ;)

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Patrick Deal, Cape Securities. Frisco, TX