SIE: Persons Exempt From Registration

Taken from our SIE Online Guide

Persons Exempt from Registration

A firm’s clerical personnel and employees who are not actively engaged in the investment banking or securities business, or whose functions relate solely to the member’s need for nominal corporate officers or for capital participation, are not required to be registered with FINRA. “Nominal corporate officers” include, for instance, a general counsel who does not have supervisory authority.

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I just want to thank Solomon Exam Prep for a great semester! We taught this curriculum at Widener University for the first time. The Solomon team was great to work with! Always available, very responsive and eager to help. The online offering is very comprehensive and we didn't miss a beat when we switched to remote learning. The QwizBang game was a big hit with the students (although more fun when we were all in the same room.) I can't thank them enough for all that they have done.

Maggie Creed, Widener University, Chester, PA

Using the Solomon SIE exam practice was a huge help at preparing for the types of questions that were asked on the real test. If you are passing the tests on Solomon’s practice exams with a consistent 75% pass rate, you should feel confident going into the test. Good luck, thank you Solomon!

Blake Rossman, True Wealth Financial, Fircrest, WA

Wow!!! Well all I can say is that Solomon Test Prep not only helped me pass the SIE first time but ensured I felt confident about the test beforehand! I will say that the practice tests are definitely harder than the real thing so if your probability passing is over 70% you are good to go! Thanks Solomon!

Lee Schmidt, Thiesen and Dueker Financial Group. Fresno, CA.

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

This program and study prep is amazing. I took and passed my SIE on the first attempt. If you follow the study guide you should be fine. I got to tell you I have never passed a test on the first go. Thanks, Jeremy! I appreciate all your tips and help you posted on the feed. It was all very beneficial to my success.

Tyrone Foster, Hall Labs. Provo, UT

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL