Series 7 Exam

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Series 7 study guide

Series 7 Study Guide 2.2 – Secures and updates information about customers along with relevant information and documents

0%Series 7 Study GuideSeries 7 Study Guide Home Post 4 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

Series 7 Study Guide 2.2 – Secures and updates information about customers along with relevant information and documents Read More »

Series 7 study guide

Series 7 Study Guide 2.3 – Gather customer investment profile information

0%Series 7 Study GuideSeries 7 Study Guide Home Post 5 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

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Series 7 study guide

Series 7 Study Guide 2.4 – Get necessary supervisory approval to open accounts and make account changes

0%Series 7 Study GuideSeries 7 Study Guide Home Post 6 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

Series 7 Study Guide 2.4 – Get necessary supervisory approval to open accounts and make account changes Read More »

Series 7 study guide

Series 7 Study Guide 3.1 – Passing on all investment strategy information to customers

0%Series 7 Study GuideSeries 7 Study Guide Home Post 7 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

Series 7 Study Guide 3.1 – Passing on all investment strategy information to customers Read More »

Series 7 study guide

Series 7 Study Guide 3.2 – Analyze customer’s portfolio of investments as well as product options to determine suitability

0%Series 7 Study GuideSeries 7 Study Guide Home Post 8 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

Series 7 Study Guide 3.2 – Analyze customer’s portfolio of investments as well as product options to determine suitability Read More »

Series 7 study guide

Series 7 Guide 3.3 – Disclose to clients characteristics and risks of investment products

0%Series 7 Study GuideSeries 7 Study Guide Home Post 9 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

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Series 7 study guide

Series 7 Study Guid 3.4 – Communications with customers

0%Series 7 Study GuideSeries 7 Study Guide Home Post 10 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

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Series 7 study gudie

Series 7 Study Guide 4.1 – Providing current quotes for investors

0%Series 7 Study GuideSeries 7 Study Guide Home Post 11 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

Series 7 Study Guide 4.1 – Providing current quotes for investors Read More »

Series 7 study guide

Series 7 Study Guide 4.2 – Processing and confirming customer transactions as per regulations

0%Series 7 Study GuideSeries 7 Study Guide Home Post 12 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

Series 7 Study Guide 4.2 – Processing and confirming customer transactions as per regulations Read More »

Series 7 study guide

Series 7 Study Guide 4.3 – Notifies the correct supervisor, helps with solving discrepancies, disputes, errors, and all complaints

0%Series 7 Study GuideSeries 7 Study Guide Home Post 13 of 141.1 Contact with potential and current customers1.2 Describing investment products to customers2.1 Tells potential customers about the account types2.2 Secures and updates information about customers2.3 Gather customer investment profile information2.4 Get necessary supervisory approval to open accounts3.1 Passing on all investment strategy information to …

Series 7 Study Guide 4.3 – Notifies the correct supervisor, helps with solving discrepancies, disputes, errors, and all complaints Read More »

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