Series 28: Registration Of Associated Persons

Taken from our Series 28 Online Guide

Registration of Associated Persons

FINRA recognizes two broad categories of individuals for registration: representatives and principals. A principal is a person actively engaged in the management of the member’s investment banking or securities business, including sole proprietors, officers, partners, and managers. A representative is any other person who solicits or conducts business in the investment banking or securities business, including research analysts and broker-dealer trainers. Anyone who is registered by FINRA, principal or representative, may be

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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 took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

When I first signed up for the SIE I was overwhelmed. The topic range was so broad. I began studying the study guide and listened to the audiobook. I also watched the video lectures. The information began to sink in. What really put me over the top was when I signed up for and attended the live class. Our instructor, JD Page, helped me to remember the most important pieces of information for the test. He not only gave us facts, but the reasons behind the facts. It really helped to cement the material into my mind. When I went in for the SIE Exam, I was able to move through the questions quickly and even had enough time to go through every question again. Thank you Solomon Test Prep!

Jason Vreeke CoreCap Investments LLC High Point, NC

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Will, Bainbridge Island, WA