Are you looking for ways to shorten the road to success for your financial advisors (FAs)? In today’s competitive financial advising world, it’s ideal to help financial advisors succeed quickly, and firms are all over it. Take a look at the following tips to…
Government and industry compliance and regulatory requirements heavily impact the financial securities industry. Along with these enforced protocols, firms are expected to conduct business using good ethical and sales practice standards. In the securities marketplace, because securities regulations are consistently in flux, continuing education…
Insurance is essential, especially today as COVID-19 sends the world into crisis. Any long-term investment plan, no matter how brilliant, is subject to rapid disintegration if the client suffers financial and personal setbacks, an accident or even premature death. For this reason, insurance is…
In the digital world today, it’s essential to utilize the latest technology to not only provide increased value to your clients as a financial advisor but to also save time and increase productivity. You might be asking yourself: How can the innovations in digital…
In recent years, it’s been challenging for recruiters in the FinServ industry to find qualified and talented financial advisor professionals due to a severe shortage of candidates. Furthermore, the industry is predicted to grow 7% from 2018 to 2028, which the U.S. Bureau of Labor Statistics indicates…
Are you looking for ways to shorten the road to success for your financial advisors (FAs)? In today’s competitive financial advising world, it’s ideal to help financial advisors succeed quickly, and firms are all over it. Take a look at the following tips to…
Financial advising is a tough career. Achieving success requires tenacity, risk tolerance and expertise in financing. Because of this, a high financial advisor turnover rate is common in firms. Unfortunately, some FAs fail to succeed or decide to quit just as they near success.…
Learn about the four components of the SEC’s new Regulation Best Interest rule that went into effect June 30, 2020 from STC’s Chief Learning Officer, Todd Rosenfeld. Todd breaks down the new rules and interpretations designed to enhance the quality of retail investors’ relationships…
Government and industry compliance and regulatory requirements heavily impact the financial securities industry. Along with these enforced protocols, firms are expected to conduct business using good ethical and sales practice standards. In the securities marketplace, because securities regulations are consistently in flux, continuing education…
Insurance is essential, especially today as COVID-19 sends the world into crisis. Any long-term investment plan, no matter how brilliant, is subject to rapid disintegration if the client suffers financial and personal setbacks, an accident or even premature death. For this reason, insurance is…
Many firms may view the licensing exam as an obstacle when trying to onboard a new team of financial advisors. Though it involves time and resources, the exam is a vital part of building industry credentials that clients trust. To expedite the process and…
In the digital world today, it’s essential to utilize the latest technology to not only provide increased value to your clients as a financial advisor but to also save time and increase productivity. You might be asking yourself: How can the innovations in digital…
STC’s Chief Learning Officer, Todd Rosenfeld, discusses the current status of testing and provides additional tips and advice on passing FINRA exams during the COVID-19 pandemic. Now, more than ever, we are here to help you navigate your career through this crisis and help…
In recent years, it’s been challenging for recruiters in the FinServ industry to find qualified and talented financial advisor professionals due to a severe shortage of candidates. Furthermore, the industry is predicted to grow 7% from 2018 to 2028, which the U.S. Bureau of Labor Statistics indicates…
SEC Rules and Interpretations for Broker-Dealer Standard of Conduct On June 5th, 2019, the SEC adopted a package of rule-makings and interpretations that are designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. Specifically, these actions include…
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 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 passed my LAH exam with an 86%. Thanks again for all your help!
- Thomas C., FINANCIAL ADVISOR, Binghampton New York
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