Series 79: Non-Institutional Customers

Taken from our Series 79 Top-off Online Guide

Non-Institutional Customers

Where a securities recommendation has been made to a customer other than an institutional customer, the broker-dealer must make reasonable efforts to obtain information about the customer’s finances, tax status, investment objectives, and any other information the broker-dealer considers reasonable to take into account when making recommendations.

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Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

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