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 confidentiality, the NASAA places a high value

+ 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 63 - Acting as Both Principal and an Investment Adviser

Series 99 - 2.3.1.2 Subordinated Debt

Series 65 - 10.2. Unlawful Representations Concerning Registrations

Series 24 - Hypothecation Agreement

SIE - 2.12.4. Collateralized Mortgage Obligations (CMOs)

Series 51 - MSRB Qualification Rules

Series 28 - Aggregate Debit Items

Series 7 - 4.9.1. Premium Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Thank You. Thank You. Thank You. Having the audio, video lectures (with the printable power-point!) and exam simulator in addition to the book really engages you in the material. It becomes a game! I passed the 66 with an 84%.

Colleen Shelly, PNC Investments, Cleveland, OH

I actually took the test (Series 66) in November and passed! I purchased the book and bought access to the online tests and found both invaluable. The book provided a good basis for knowledge, and taking the tests over and over gave me the logic of what the test writers were seeking.

Erik Cooper, Dallas, TX

After hearing horror stories about people struggling and in some cases failing the Series 66, after easily passing the series 7, I invested in both the Series 66 audio book and the Series 66 on-line tests. I passed my Series 66 exam with an 87%!

Mardee Formales, Wells Fargo, San Diego, CA

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

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY