Todd Rosenfeld, Chief Learning Officer at STC, discusses 2023 changes to continuing education (CE) requirements for investment advisor representatives (IARs). If you’re registered as an investment advisor representative (IAR), you’ll want to be aware of your CE requirements. Some changes went into effect for…
Todd Rosenfeld, Chief Learning Officer at STC, discusses STC’s Investment Advisor Representative (IAR) continuing education courses for 2023. As you know, investment advisor representatives (IARs) are required to have 12 CE credits per year: six credits on ethics and professional responsibility, and six credits…
In this episode, Todd Rosenfeld, Chief Learning Officer at STC, explains four Secure Act 2.0 changes that affect retirement plans in 2023. These changes could also have an impact on some of the securities licensing examinations you may take. Change #1: Increase in Required…
Todd Rosenfeld, Chief Learning Officer at STC, provides insights into tax law and retirement plan changes effective 2023 which could affect licensing examinations such as the SIE Securities Industry Essentials exam, the Series 6 and Series 7, NASAA exams the 63, 65 and 66…
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…
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 general, most FINRA, MSRB, and NASAA licensing examinations will not test the specific dollar limits for contributions to retirement plans; however, there are certain numbers that are relevant and should be considered. Many of the contribution levels are indexed to inflation (often with…