Tag: FINRA

Regulating Social Media

How FINRA Is Regulating Social Media

In today’s busy world full of technological advancements, it’s becoming increasingly important to ensure that investors are protected from false or misleading claims, exaggerated statements, and material omissions when social media is used as a means of communication. Although the different forms of social…

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I passed my LAH exam with an 86%. Thanks again for all your help!

- Thomas C., FINANCIAL ADVISOR, Binghampton New York

I passed the NY State LAH exam today – I got an 81. Thanks for the great training material.

- Nick C., FINANCIAL ADVISOR, New York New York

I took the Series 24 yesterday and passed with flying colors. I felt very confident as I was going through the exam. Thank you for the great review course and tips.

- John C., FINANCIAL ADVISER, Charlottesville North Carolina

I just wanted to share my feedback on the Series 7 class that I took in NYC 8/1-8/4, with David Morris as the instructor. I found the class to be instrumental in my preparation for the exam. The content encompassed all the salient points that were important for the test, and David is a great instructor. He is very knowledgeable, engaging, breaks concepts down for easier understanding, and has great rapport with his students. I’m very happy to say that I passed the Series 7 test today, and I credit STC and David’s instruction in ensuring that I had the necessary knowledge necessary for the test.

- John H., FINANCIAL ADVISER, St. Louis Missouri

My sincere thanks and appreciation for your unwavering support through my Series 7 prep. I was able to pass the exam this weekend and sincerely could not have done it without the help you all lended me via multiple phone calls and email communications. Thank you from the bottom of my heart for being patient with me and helping me work through my weak areas.

After experiencing such excellent customer service with STC for both the SIE and the 7, it was an easy decision to choose STC again for the 66. I look forward to working with you all further as I tackle this next exam. Thanks again for everything! Cheers!

- Rich D., FINANCIAL ADVISER, St. Louis Missouri

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