Series 14: 3.1.2.2.1. Lifetime Records

Taken from our Series 14 Online Guide

3.1.2.2.1. Lifetime Records

Records associated with the foundation of a firm must be kept for the firm’s lifetime. These types of records are partnership articles if it is a partnership, articles of incorporation if a corporation, minutes of partners’ or directors’ meetings, and stock certificate books.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.1.2.2.1. Lifetime Records, you might also be interested in:

Series 24 - Content Standards

Series 65 - 3.8.3.5. Sales Charge

Series 14 - 9.1.2.7. Investment Company Rankings

Series 14 - 4.1.4. Notification of Net Capital Shortfall

Series 66 - Fixed Annuities

Series 26 - Definition of Broker-Dealer

Series 66 - 2.4.3. Maturity Structure

Series 6 - 7.5.3.2. Six-Year Records

Series 24 - Fourth Market

Series 24 - Form BD (“BD” = Broker-Dealer)

Series 54 - Exercise

Series 22 - 3.10.1. Program Objectives

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

Started studying May 15. Passed it (Series 7) on June 28 with 91%. Very happy.

Cindy Roggenkamp, St. Cloud, MN

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC

I was very impressed with all elements of Solomon's Series 24 offerings. Solomon provided an incredibly organized system for me to utilize, which kept me "on point" and focused. I felt good confidence going into the test because of the structured system that Solomon developed. I would certainly recommend Solomon to anyone that is taking the Series 24.

William Bundy, Bundy Group. Charlotte, NC

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL