Series 14: 4.1.3.2. Introducing Broker-Dealers

Taken from our Series 14 Online Guide

4.1.3.2. Introducing Broker-Dealers

As discussed in Chapter 3, introducing firms, also called fully disclosed firms, keep customer accounts but do not hold customer funds or securities or carry customer accounts themselves. Instead, they have an arrangement with a clearing, or carrying, firm to maintain custody of their

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.3.2. Introducing Broker-Dealers, you might also be interested in:

Series 50 - Asset-Backed Securities

Series 7 - Exercise

Series 63 - 1.1.2.2. The Investment Adviser Registration Process

Series 53 - Chapter 3 Practice Questions

Series 26 - Reserve Accounts and Account Statements

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

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

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

I am 73 years old and have been retired for 5 years. My fulfilling career of 38 years was mainly as a portfolio manager in a trust setting. A good friend of mine recently started an RIA and asked me to consider coming to work for him. Since I loved my job and retirement is boring in comparison, the decision to jump back in was rather easy. You know the old saying: if you love what you do, you will never work a day in your life. But yes, I must first pass Series 65. The study materials and whole program you have constructed are excellent. I read the phone-book sized reading materials and took many practice exams on the website. Just this morning I sat for the test and passed. Hooray!! I am convinced that your test preparation process made the exam seem easy. So I will recommend to anyone preparing for a securities exam to definitely consider getting your program. Thanks again for your outstanding program and guidance."

Rick Hinchberger Dover Advisors LLC

I passed first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

Thank you Solomon! I passed the Series 65 today on the 1st attempt. Same result as on the Series 63 I passed last year. The Solomon video lectures and exam simulator was awesome. It not only helped pass the test but helped me really understand all the material.

Gary Kilanowski. Scottsdale, AZ