Series 14: 7.2.4.5. Conditions Of Individual Registration

Taken from our Series 14 Online Guide

7.2.4.5. Conditions of Individual Registration

Once a person files a Form U4 with FINRA, it is registered into the Central Registration Depository, but the registration does not become valid until the person passes the appropriate qualification exam. No person is allowed to take any FINRA-administered exam except for the Securities Industry Essentials (SIE) exam unless already associated with a member firm, nor can a person leave the securities industry and maintain an existing registration for longer than two years (except for those actively serving in the military).

FINRA’s so-called permissive registration makes it possible for certain securities personnel to maintain their registration when they no longer perform the duties associ

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.2.4.5. Conditions Of Individual Registration, you might also be interested in:

Series 63 - Federal vs. State Registration

Series 51 - Rule G-34—CUSIP Numbers

Series 66 - 6.1.1.2 Ticker Information

Series 50 - Financial Feasibility Consultant

Series 63 - Termination of an IAR

Series 66 - 9.1.2. Delivery of the Prospectus

Series 24 - Second Market: The Over-the-Counter Markets

Series 66 - Exercise

Series 24 - Written Notices

Series 53 - Series 53 Online Guide

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

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!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA

Completing the Series 7 was a requirement for my current position. After seeing the material and dedication Solomon Exam Prep put into the SIE material, I knew Solomon’s material would be perfect for me again. I had access to STC material and tried to go through it first but it was too content heavy and at certain points, very confusing. I decided to move back over to Solomon for the 7 and was blown away yet again by how great the material is. Solomon has figured out how to properly prepare people for this exam in my opinion. Solomon Exam Prep focuses on teaching the concept rather than bogging you down with so much material. THAT IS SO HELPFUL! Of course the material is important but it’s extensive. After using Solomon Exam Prep for the Series 7, I was able to fully understand the concepts which made it so much easier to select the best questions on the exams. All the other training programs bury you deep with content, which makes it almost impossible to understand the concepts. If you get questions on the exam that you have not seen before, only knowing specific material will not help you. But if you understand the concepts (like Solomon Exam Prep helped me do) you can break down the question and find the best answer based on your understanding of the concept as a whole. That’s a much better method and Solomon Exam Prep has figured this out! I strongly suggest buying the study guide. You won’t regret it!

Jared M. Albany, New York

I really would like to thank Solomon Exam Prep for helping me pass my Series 63 exam this past Friday! The website is easy to understand and I passed on the first time using their study guide!

Stephanie Oliver, MSRS, Minneapolis, MN

I passed the series 65! I used the Solomon exam prep Material to take the series 65. I had previously used the Kaplan material and did not find the materials to be that good. The book, audio tape and exam question bank were amazing. It was hard to go to the center wearing a mask during this Coronavirus time period. I don’t think I would’ve passed this Series 65 without Solomon. Thank you

Gail Abrams, The Investment Center, Inc. Watchung, NJ

Solomon Exam Prep was very thorough and prepared me not only for the SIE, but the practice questions were so in-depth I now feel prepared for the Series-7 top-off as well.

Steven Laesser, Raymond James, Saint Petersburg, FL