Series 63: Disciplinary Action Against An IAR

Taken from our Series 63 Online Guide

Disciplinary Action against an IAR

As with investment advisers, lifetime registration as an investment adviser representative is by no means guaranteed after someone is initially approved. State approval as an IAR terminates on December 31 of each year. If not properly renewed, an IAR’s registration is revoked. For a full list of reasons registration can be terminated, please see “Termination of an Investment Adviser Registration”. However, for IARs, there is one exception: in the ca

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The products and support provided by Solomon Exam Prep was exactly what I needed to pass my Series 63 the first time. The reading materials where actually enjoyable due in part to easy to understand explanations. Unlike most of the competitors offerings which are perfect for insomniacs, these materials are engaging and the test questions are harder than I experienced on the exam. Additionally, the on-line testing simulator is a fabulous addition to the package. Not only do you have an opportunity to take a self paced approach but also as you come to the final days of prep, there is a timed environment that helps you establish a pace that is a real plus on exam day. The real-time support when I had a question or concern was the last extraordinary plus of this packaged solution. I received responses if not in minutes certainly within the day. I recommend these products to all of my associates and to you.

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