Series 28: Investigation Of Registered Personnel

Taken from our Series 28 Online Guide

Investigation of Registered Personnel

Each member firm has the responsibility to investigate the good character, business repute, qualifications, and experience of any person before certifying that person for registration with FINRA. Where an applicant for registration has previously been registered with FINRA, the member firm must review a copy of the Form U5 filed by that person’s most recent employer.

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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 ;)

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Nikita Brown, BMI. Atlanta, GA

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