Financial and Operations Principal (Series 27)
A financial and operations principal (FINOP) is another required principal for brokers, dealers, and municipal securities dealers. FINOPs are responsible for the preparation and approval of financial reports, the maintenance of books and records, compliance with the financial responsibility rules, supervision of clearance functions, and supervision of safekeeping functions.
FINOPs must pass the Series 27 exam.
Exercise
Match the associated person to the appropriate qualifying exam.
A. Series 52 exam, or Series 7 exam if taken before November 2011B. Series 51 examC. Series 9/10 examD. Series 27 exam
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Thank you so much for the easy reading! I passed the 51 on my first attempt!!
Amber Carrick, Keystone Financial Management, Bath, PA
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Michael
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
Using Solomon was very helpful. The exam simulator tests were great, but I should have spent a little more time re-reading the chapters. Passed (Series 51) on my first try.
Kelli Lanino,
Raymond James Financial
Riverhead, NY
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Margaret Chen, PFS Investment, Duluth, GA
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