If you have looked into a career in the Securities Sector, you may have been surprised at how many exams and licenses there are available. Thankfully, not all of the exams must be taken. Determining where you want to go in your career will…
If you’re just starting to branch into the financial services industry, you’re likely overwhelmed with the number of licenses that are available to obtain. Why are there so many licenses, and which ones are right for you? Before taking any exams, you must first…
A Financial Risk Manager (FRM) is a professional who specializes in identifying and handling risks to financial asset management. The classification is granted by the highly respected Global Association of Risk Professionals (GARP), a nonprofit founded in 1996. The GARP sets and maintains standards…
As of January 1, 2022, NASAA (North American Securities Administrators Association) has applied a new Investment Advisor Representative (IAR) CE Model Rule. This rule has been in the works since 2014. After years of research and planning, it passed in November 2020. The CE Model…
It has been determined by multiple sources that there is a small success rate for financial advisors in their first year. Many people do not survive their first year as a financial advisor. The combination of pressure to find clients, a steep learning curve,…
In 2022, experts predict that hiring activity will increase. So, if you’re looking for a new job, you’ll have a higher chance of finding something you love in 2022. For those interested in financial services and securities jobs, there are a handful of positions you…
The coronavirus crisis has underlined the importance of insurance in protecting health and wealth. It has also highlighted how long-term financial plans, no matter how brilliant, can rapidly disintegrate if the client suffers an accident, health crisis, or death. For this reason, financial advisers…
To become a representative in the securities industry, you may have different options when it comes to registration. How do you know which exam is appropriate for your career? Below you’ll discover the details of both the Series 6 and Series 7 qualification exams…
So, you’re ready to take the SIE Exam, pass it, and get started with your career in the financial industry. Well, before you do, let’s consider some of the important facts to know about what passing the exam can mean for you. This way,…