Series 99: 1.2.3.6.1 Customer Accounts

Taken from our Series 99 Top-off Online Guide

1.2.3.6.1 Customer Accounts

The information required on a new client account form must be kept by the member firm for at least six years. This applies to all individual and institutional accounts.

However, customer accounts that trade only in open-end mutual fund shares not recommended by the member

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 1.2.3.6.1 Customer Accounts, you might also be interested in:

Series 7 - Exercise

SIE - SEC Rule 144: Resales of Restricted and Control Securities

Series 65 - Chapter Four: Derivatives and Alternative Investments

Series 52 - 5.4. Understanding Credit

Series 24 - 3.3.5. Cash and Mailing Instructions

Series 66 - Exercise

Series 24 - 1.2.3.1. Form U4

Series 66 - Simplified Employee Pension (SEP) Plans

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

Alyssia Simpson. Denver, CO.

I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

For the Series 99 I bought and studied the STC and the Kaplan study manuals and test banks but I pattern matching questions versus fundamentally understanding the content. I stumbled upon the Solomon test bank during a Google search and I am glad that I did. The Solomon test bank went into a lot more detail in the answers which allowed me to better understand the actual content versus just pattern recognition in the questions. Some have said that the Solomon test bank is harder than the test which I think may be true but learning the content at this level of detail is how I was able to feel confident walking in and walking out with a pass on the first attempt.

Garry Kindred Denver, CO

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

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