Resource Center: Career

Featured Career articles

FINRA test

What FINRA Test Should You Take?

  Want to work in the securities and investment industry? Or do you want to enhance your current career? Before you jump into taking a licensing test, you should learn what’s available. The Financial Industry Regulatory Authority (FINRA) is the self-regulating body of the…

investment brokers

10 Steps to Becoming an Investment Broker

So, you’re thinking about a career as an investment broker. After all, the field has lots of perks: strong earning potential, rewards for the entrepreneurial spirit, and most brokers are highly respected in their communities. However, entry requires mastering these 10 steps to becoming…

guy doesn't pass series 7 exam

What Should You Do If You Fail the Series 7 Exam?

Few tests or certifications have the pressure attached to them that the Series 7 (also known as the Series 7 Top Off Exam) does. This is part of the reason why so many participants fail the test. Fail, and you could not only forfeit…

career in financial services

Should You Become a Financial Advisor or an Investment broker?

Should You Become a Financial Advisor or an Investment broker? If you’re considering a career in financial services, you may ultimately choose between a financial advising firm or joining a broker-dealer. Too many newcomers assume that financial advisors and brokers perform the same duties,…

FINRA test

What FINRA Test Should You Take?

  Want to work in the securities and investment industry? Or do you want to enhance your current career? Before you jump into taking a licensing test, you should learn what’s available. The Financial Industry Regulatory Authority (FINRA) is the self-regulating body of the…

investment brokers

10 Steps to Becoming an Investment Broker

So, you’re thinking about a career as an investment broker. After all, the field has lots of perks: strong earning potential, rewards for the entrepreneurial spirit, and most brokers are highly respected in their communities. However, entry requires mastering these 10 steps to becoming…

guy doesn't pass series 7 exam

What Should You Do If You Fail the Series 7 Exam?

Few tests or certifications have the pressure attached to them that the Series 7 (also known as the Series 7 Top Off Exam) does. This is part of the reason why so many participants fail the test. Fail, and you could not only forfeit…

career in financial services

Should You Become a Financial Advisor or an Investment broker?

Should You Become a Financial Advisor or an Investment broker? If you’re considering a career in financial services, you may ultimately choose between a financial advising firm or joining a broker-dealer. Too many newcomers assume that financial advisors and brokers perform the same duties,…

financial advisor

Should Working as a Financial Advisor Be Your Second Career?

  The job market for financial advisors stands at a crossroads in 2018. Small independent firms and Big Four wirehouses alike face a difficult situation over the next decade. Mature, successful advisors are retiring in higher numbers, but young professionals, even recent college graduates,…

Leverage the SIE exam

How to Leverage the SIE Exam in Your Business

How to Leverage the SIE Exam in Your Business 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 SIE Exam is…

sales assistants

Should Sales Assistants Take the SIE? Yes!

The financial services industry is awash in paperwork. Well-run firms rely heavily on their office and administrative support to keep track of transactions, new accounts, customer requests and the day-to-day operations. Although not always necessary, some support staff do need to be licensed. Starting Oct.…

millennial financial professionals

How to Find the Next Generation of Financial Advisors

Recruiting and retaining world-class investment advisors gives your firm a competitive edge. Every business in the financial services industry, including Big Four wirehouses and boutique startups, must be agile enough to recruit quickly in a tight labor market. As the U.S. economy remains shorthanded,…

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