Series 66: 9.4.5 Client Confidentiality

Taken from our Series 66 Online Guide

9.4.5 Client Confidentiality

Few things can screw up relationships like money. It can change people’s motivations, undermine their trust, and call into question their intentions. That’s why many clients are more apt to talk about their love life than their financial life.

To help protect client con

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.4.5 Client Confidentiality, you might also be interested in:

Series 66 - Right to Receive Dividends

Series 79 - Valuation Exercise: Putting It All Together

Series 66 - Investment Advisers Act of 1940

Series 50 - Types of Municipal Bonds

Series 79 - Series 79 Online Guide

Series 82 - 3.4.2. Portfolio Management Strategies

Series 99 - 3.4.3.1 Annual Certification of Compliance and Supervisory Processes

Series 26 - Identity Theft Red Flags

Series 50 - Exercise

Series 52 - 4.2.1. Firm Quotations

Series 63 - Registration by Qualification

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

Thank you so much for your great study materials! I have used Kaplan in the past and this is so much better! I used your study materials to get an 84% on my Series 7 and an 85% on my Series 66! Keep up the good work!

Ivan Griffin, Roach, MO

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

I passed the Series 79, 7, and 66 thanks to your study guides. I scored an 85, 81 and 82, respectively. The exam simulator was highly useful and great preparation. I glossed over material I knew and really prepped topics related to laws and ethics, which these study guides effectively described and tested. I highly recommend Solomon!

Sean M, New York, NY