Series 14: 7.3.5.9. Continued Association With A Person Subject To A Statutory Disqualification

Taken from our Series 14 Online Guide

7.3.5.9. Continued Association with a Person Subject to a Statutory Disqualification

As discussed in Chapter 5, a person can be statutorily disqualified due to a variety of events, such as a felony conviction, expulsion from FINRA, or making a false statement on Form U4. If a firm wishes to employ or continue its association with a person who is subject to statutory dis

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.3.5.9. Continued Association With A Person Subject To A Statutory Disqualification, you might also be interested in:

Series 26 - Joint Accounts

Series 66 - 5.2.3 Non-Qualified Retirement Plans

SIE - Chapter 1 Practice Question Answers

Series 63 - Broker-Dealer vs. Investment Adviser Suitability

Series 24 - 5.9.1. The Consolidated Tape

Series 6 - 3.4. Roth 401(k)

Series 14 - 7.2.4.2.4. Research Analysts

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

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

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!

William Windham, Solebury. Brooklyn, NY.

I passed the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

I just passed the Series 63 and Series 6. I only have Solomon staff and exam prep material to thank. This has been a very challenging experience. Please do yourself a favor and buy Solomon Exam Prep materials. It's made me a believer and you will not regret it!

Dwight Lee, FFS, Los Angeles, CA, Series 6 and 63