Series 65: Client Confidentiality

Taken from our Series 65 Online Guide

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

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Client Confidentiality, you might also be interested in:

Series 53 - Blotters and Other Records of Original Entry

Series 7 - 6.1.6.2 Withdrawal Plans

Series 79 - Identifying Strategic Positions for Negotiating

Series 53 - Recordkeeping Requirements

Series 27 - Records and Reports Preservation

Series 53 - 6.3.3.1. Lifetime Requirement

Series 63 - Exercise

Series 24 - Good Delivery

SIE - Chapter 10 Practice Question Answers

Series 24 - Contact Rule

Series 7 - Appendix A

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I finally passed the Series 65! I’m writing today to send you a very sincere Thank you for all the professional support and emotional guidance you have provided. I was emotionally beat up and almost ready to give in on my endeavor of passing the Series 65 and becoming an Investment Advisor Firm. After becoming unemployed and having a tremendous time focusing on the study material, you provided additional months and material access for no additional Fee! You also mentioned I should be able to teach the material and then I’ll be ready for the exam. By the gracious caring and professional sharing of your wisdom, it provided me to find my path to passing the Series 65! The three items that really helped was to Study like I’m going to teach it, memorizing and learn by over studying, and getting plenty of sleep and rest. Thank you to you, your family, and pro team for all you have done. I am very blessed and humbled to have met you all in this challenging time of my life. Happy Holidays, and Have a Safe and Happy New Year!

Michael Jones. Kansas City, MO

I want to thank Solomon Prep for helping me to pass the Series 65.

Nelson Coleman, Saint Louis, MO

Solomon Exam Prep material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

I used you guys when I sat for the Series 7 two weeks prior and passed that bad boy too. The Solomon books are awesome and allowed me to pass these challenging exams [Series 65 and Series 7] the first time. Highly recommended. Thank you.

Jonathan Freehill, Houston, TX