Series 7: 14.1.1 Customer Identification Verification

Taken from our Series 7 Top-off Online Guide

14.1.1 Customer Identification Verification

A broker-dealer must establish and maintain a written Customer Identification Program (CIP) as part of the government’s anti–money laundering compliance program.

The USA PATRIOT Act requires member firms to use the name, address, date of birth, and Social Security number or tax identification number to independently verify the i

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I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

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