Financial Advisor Career
Series 66 Exam Prep – How to pass the Series 66 exam in 2023
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Series 66 Module 4 –Â Guidelines, Regulations and Laws (including prevention of unethical business practices)
Series 66 Module 3 – Investment strategies and recommendations for clients and customers
Series 66 Module 2 – Characteristics of various investment vehicles
Series 66 Module 1 – Business information and economic factors
Series 65 Exam Prep – How to pass the Series 65 exam in 2023
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Series 65 Module 4 – Guidelines, Laws and Regulations
Series 65 Module 3 –Â Investment recommendations and strategies for clients
Series 65 Module 2 – Characteristics of Investment Vehicles
Series 65 Module 1 – Business Information and Economic Factors
Series 63 Exam Prep – How to pass the Series 63 exam in 2023
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Series 63 Module 7 – Obligations and ethical practices
Series 63 Module 6 – Customer and prospects communication
Series 63 Module 5 – Administrative provisions and remedies
Series 63 Module 4 – Securities registration, exemptions, and their issuers
Series 63 Module 3 – How the Uniform Securities Act regulates Investment Advisers and their representatives
Series 63 Module 2 – How the Uniform Securities Act regulates broker-dealers and the agents in their employment
Series 63 Module 1 – Definitions from the Uniform Securities Act
Series 7 Exam Prep – How to pass the Series 7 exam in 2023
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Series 7 Study Guide 4.4 – Dealing with margin issues
Series 7 Study Guide 4.3 – Notifies the correct supervisor, helps with solving discrepancies, disputes, errors, and all complaints
Series 7 Study Guide 4.2 – Processing and confirming customer transactions as per regulations
Series 7 Study Guide 4.1 – Providing current quotes for investors
Series 7 Study Guid 3.4 – Communications with customers
Series 7 Guide 3.3 – Disclose to clients characteristics and risks of investment products
Series 7 Study Guide 3.2 – Analyze customer’s portfolio of investments as well as product options to determine suitability
Series 7 Study Guide 3.1 – Passing on all investment strategy information to customers
Series 7 Study Guide 2.4 – Get necessary supervisory approval to open accounts and make account changes
Series 7 Study Guide 2.3 – Gather customer investment profile information
Series 7 Study Guide 2.2 – Secures and updates information about customers along with relevant information and documents
Series 7 Study Guide 2.1 – Tells potential customers about the account types available and discloses their restrictions
