The private placement market is a viable option for raising relatively small amounts of capital. It tends to be populated by smaller companies that do not wish to have the offering registered with the Securities Exchange Commission (SEC). Private placement issuers are not permitted…
The general public has historically viewed the insurance industry with a certain amount of skepticism. Insurance products can be complicated, and the process for selling often falls short of being consultative. Trends in the industry are helping a new generation of insurance salespeople to…
Crowdfunding, crowdlending and crowd equity. These terms did not exist a decade ago, but now they represent some of the hottest trends in the securities industry. While digital platforms have opened new opportunities and realms for investors, there will always be a need…
Investment advisors have one of the greatest jobs in the world: making money for clients. As clients make money, their advisors build wealth right alongside them. The work provides intellectual challenge and the excitement of building a good reputation and prosperous business. Despite the…
6 Key Steps to Landing a Securities Job By Leveraging the SIE The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The…
The private placement market is a viable option for raising relatively small amounts of capital. It tends to be populated by smaller companies that do not wish to have the offering registered with the Securities Exchange Commission (SEC). Private placement issuers are not permitted…
The general public has historically viewed the insurance industry with a certain amount of skepticism. Insurance products can be complicated, and the process for selling often falls short of being consultative. Trends in the industry are helping a new generation of insurance salespeople to…
Crowdfunding, crowdlending and crowd equity. These terms did not exist a decade ago, but now they represent some of the hottest trends in the securities industry. While digital platforms have opened new opportunities and realms for investors, there will always be a need…
Investment advisors have one of the greatest jobs in the world: making money for clients. As clients make money, their advisors build wealth right alongside them. The work provides intellectual challenge and the excitement of building a good reputation and prosperous business. Despite the…
6 Key Steps to Landing a Securities Job By Leveraging the SIE The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The…
Discussing financial needs with clients requires product knowledge and also what doctors would refer to as a good “bedside manner.” It is important for financial advisors to know when to let clients speak and when to offer advice and product knowledge. Developing an approach…
Longstanding political battles have been fought over the banking system, its internal structure, and the investment habits of its largest members. The Glass-Steagall Act was enacted in order to fight on the side of depositors, aiming to protect them from risky investments, and remove…
While some industry sectors are growing, brokerage firms are becoming choosier about candidates. Fortunately, now that the Series Industry Essentials (SIE) Exam can be taken by anyone without requiring sponsorship by a FINRA member firm, there is a platform that allows jobseekers to stand…
Financial services can be a lucrative and gratifying profession, and college can be the perfect time to begin preparing for a long career in this industry. A financial advisor helps clients make life-changing decisions and manage savings and investments responsibly. A financial services career…
The investment world can be daunting for people who are just starting out in a new career. Understanding products and niches within product types before you embark on a job search can be extremely helpful. Finding products that are suitable for your personality also…
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
Good Afternoon Dave, I took your class this week and let me again say thank you. It was very clear to me how much you love your job and that you truly care about all of us passing, which I’m not sure I can say about some of the other testing companies I’ve previously used. Again, thank you for your hard work this week and I look forward to speaking to you soon to tell you I passed. I promise you will be third on my list of people to tell when I pass, just behind my girlfriend and dad, I’ll even do it before my manager!
- Evan R., FINANCIAL ADVISER, Chicago Illinois
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
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 passed! Thank you so much, Elizabeth! I have long way to go…After series 7 I have to get 24, 65. Because of your excellent service and customer care, I want to stay with STC. Have a great day!!
- Ben B., FINANCIAL ADVISER, New York New York
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