Series 28: Account Transfers

Taken from our Series 28 Online Guide

Account Transfers

Sometimes a client will wish to transfer an account from one brokerage firm to another. The client will initiate the process by filling out a Transfer Initiation Form (TIF) and sending it to the firm to which the client wishes to transfer. The new firm is referred to as the receiving firm because it will be receiving the new customer.

The receiving firm must immediately send a request-to-transfer to the cl

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Account Transfers, you might also be interested in:

Series 63 - 3.1.2.1 The Registration Statement

Series 26 - Securities Record (also called the Stock Record)

Series 51 - Financial Records

Series 65 - Municipal Bonds

Series 65 - 5.2.1.1 Preservation of Capital

Series 53 - 2.2.2.4.3. Municipal Securities Principal (Series 53)

Series 63 - Registration of Securities

Series 66 - Broker-Dealers Operating Within Bank Setting

Series 65 - 1.4.1.5. More Tools of Fundamental Analysis: Financial Ratios

Series 24 - 1.2.5.3. FINRA Licensing Examination Waivers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

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 the Series 50 on the first attempt thanks to Solomon's materials. Although the questions on the exam were much more difficult and complex in structure and format than the Solomon practice exams, the study materials & practice exams did enforce the concepts that the actual exam was testing. Thank you Solomon!!!

Lisa Gesin, Gesin Consulting, Dallas, TX

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

Excellent exam preparation! Passed on my 1st attempt! SIE EXAM DO LOTS OF PRACTICE EXAMS, AND FLASHCARDS. I found the real exam question easier than the Solomon's ones. Thank you!

Gil Malamut, Prudential. New York, NY