Series 3: 7.3.8.1. Customer Identification Program

Taken from our Series 3 Online Guide

7.3.8.1. Customer Identification Program

Every FCM and IB must adopt a written Customer Identification Program to assure it knows the true identification of its customers. For individual persons, it must identify name, address, date of birth, and social security number or tax identification number.

The firm must make a reasonable attempt to verify the identity of each new customer. This verification can be done with a current driver�

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.8.1. Customer Identification Program, you might also be interested in:

Series 14 - 2.6.1. Information to Be Reported

Series 24 - Becoming a Registered Employee

Series 24 - 2.8.4.3. Treatment of Free Credit Balances

Series 65 - C.2 Prohibited Advertising Practices

Series 26 - More Filing Requirements and Review Procedures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

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

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

Just passed the Series 7 on the first attempt! Many questions on the FINRA exam forced me to consider scenarios from a different perspective, and the conceptual understanding the Solomon materials and study plan facilitated allowed me to apply my knowledge appropriately. If I need another license in the future, I'll rely on Solomon to help me prepare.

Dave Stakland Cambridge Investment Research Fairfield, IA

I prepared for the Series 50 (Municipal Advisor) exam using your materials and was extremely satisfied. Having the materials in multiple written and audio formats provided a lot of flexibility in where and when I could study. The scope of the Series 50 exam is so broad that even very experienced individuals would benefit by this type of preparatory course. I highly recommend this product.

Derek Morse, Morse Associates Consulting, LLC, Reno, NV

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX