Series 27: Fingerprint Records

Taken from our Series 27 Online Guide

Fingerprint Records

Every member firm must submit to the U.S. Attorney General a processed fingerprint card for every registered person in its employ, unless the associated person:

• Does not engage in or supervise either the sale of securities or the handling of securities or money or their related books and records
• Does not engage in or supervise transfer agent functions
• Only sells mutual fund shares

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Fingerprint Records, you might also be interested in:

Series 53 - 4.2.4.1.1. SEC Reasonable Basis Standard

Series 66 - 4.2.2.3 Death

Series 53 - 2.5.4. Limitations on Gifts, Gratuities, and Non-Cash Compensation

Series 6 - Exercise

Series 65 - 1.4.1.2.1. Assets

Series 65 - 2.1.1.1 Right to Inspect Records

Series 51 - New Issue Data Submissions (MSRB Rules G-34 and G-32)

Series 53 - Sharing in Profits or Losses

Series 24 - Designated Market Makers (DMMs)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

I found the (Series 82) material from Solomon superior to the other major providers of these types of study guides. The online testing was also quite good and I loved the range of options (half tests, half tests with answers, full tests, etc.). Starting with half test with answers and working my way to full tests without answers built my confidence. Also, their customer service is second to none. If I had a question about the test, my email was answered within the day, as opposed to most companies, which is never. Thanks so much!

Jackson Stith, SyndiGate Capital. Miami, FL

I just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, OH