Series 82: 3.6.5. Four-Year Records

Taken from our Series 82 Online Guide

3.6.5. Four-Year Records

Customer complaint records shall be kept at the Office of Supervisory Jurisdiction under whose jurisdiction the complaint was filed and maintained for at least four years.

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 3.6.5. Four-Year Records, you might also be interested in:

Series 7 - 9.1.2. Interest Rates and the Business Cycle

Series 66 - 9.5.4. Advance Directives

Series 66 - 3.6.4.8.2. Annuitization Phase for a Non-Qualified Annuity

Series 7 - 11.3.4. Reserve Accounts and Account Statements

Series 82 - Effect of a Registered Representative’s Suspension, Revocation, Cancellation, or Bar

Series 53 - Close-out by Seller

Series 66 - People and Entities Excluded from Investment Adviser Definition

Series 65 - Chapter Five Practice Questions

Series 27 - Calculating a Firm’s Net Capital

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the Series 82 just four weeks after passing the SIE. I followed the study plan, took tons of the great practice tests, got great advice from Karen, and everything worked out well. It was literally the perfect test prep experience. The materials themselves were not overly long as with other groups, it was the exactly right amount, and the Exam Simulator is just awesome, best one of its kind I've ever used. 100% rating. Thank you, Solomon!

Jonathan Roth, DAK Capital/DAK Group, Rochelle Park, NJ

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I successfully passed on the first attempt my Series 82 exam today after using the Solomon Exam Prep course. It is an excellent online study tool. The entire suite of exam prep offerings were very helpful as I could study at my own pace and customize my learning. I used the flashcards, quick and longer exams simulations and found the "Fast Facts" extremely useful as a final prep summary. I would highly recommend Solomon Exam Prep to anyone either just entering the securities industry or adding new licenses during their career.

Michael Ryan, Growth Capital Services. San Francisco, CA

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX