SIE: Verification By Principal

Taken from our SIE Online Guide

Verification by Principal

Before signing Form U4, a principal must verify the applicant’s employment for the prior three years and attest to her character and reputation.

Once a person files a Form U4 with FINRA, it is entered into the CRD, but the registration does not become valid until the person passes the appropriate qualification exam.

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Verification By Principal, you might also be interested in:

SIE - Intrastate Exemptions: Rule 147

Series 7 - 9.4.1.2.3. Shareholders’ Equity

Series 63 - A Last Word Before You Start ...

Series 6 - 4.1.1.2.7. Transfer Rights

Series 65 - 5.1.3.1. Trust and Estate Accounts

Series 66 - Averaging Returns

Series 79 - Review of Transaction Structures and Issues to Consider

Series 65 - Transfer Rights

Series 7 - 9.4.1.5.2. Measures of Financial Leverage

Series 7 - 5.3.3.1 Debit Call Spread

Series 66 - Combined Positions in Margin Accounts

Series 24 - 2.6.2. Six-Year Records

Series 7 - 9.4.1.5.3. Measures of Profitability

Series 24 - 3.5.8.2.1. Variable Annuities as Investment Companies

Series 14 - 8.4.3. Customer Complaints—Broker-Dealers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just want to thank Solomon Exam Prep for a great semester! We taught this curriculum at Widener University for the first time. The Solomon team was great to work with! Always available, very responsive and eager to help. The online offering is very comprehensive and we didn't miss a beat when we switched to remote learning. The QwizBang game was a big hit with the students (although more fun when we were all in the same room.) I can't thank them enough for all that they have done.

Maggie Creed, Widener University, Chester, PA

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN