SIE: Fingerprint Card

Taken from our SIE Online Guide

Fingerprint Card

Every officer or employee of a member firm who sells, handles, or processes securities, or who supervises those who do, must be fingerprinted as part of the registration process. Fingerprint cards may be filed electronically or by hard copy obtained through the Gateway Call Center. They must accompany every Form U4.

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Fingerprint Card, you might also be interested in:

SIE - Capital Gains on the Sale of Mutual Fund Shares

Series 65 - Exercise

Series 53 - 3.1.2.1. Opening Institutional Customer Accounts

Series 7 - 17.5.2.1 Clearance and Settlement for Trades Cleared Electronically

SIE - 3.1.6. Redemption of Mutual Fund Shares

Series 14 - 4.1.3.7. Aggregate Indebtedness

SIE - Exercise

Series 66 - 8.1.2. Registration of Securities

Series 24 - 2.2. Supervising the Conduct of Associated Persons

Series 7 - 14.8.1. Lifetime Records

Series 65 - Health Savings Accounts

Series 24 - 3.10.3. Roth 401(k) plans

Series 24 - SEC Rule 604 – Limit Order Display

Series 27 - Regulation T Margin Calls

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

I passed first try on the SIE. Thanks to Solomon! The exam simulator is super helpful for prepping for test day.

William Windham, Solebury. Brooklyn, NY

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN