Podcasts and Blog

Series 6 Lesson 9 Mutual Funds pt 2 Series 6 Lesson 9 Mutual Funds pt 2 Fund of Funds = a mutual fund that holds shares of many other funds Principal Protected Funds = These funds are focused on protecting the investor’s principal. They take many steps in order to keep everything stable. These can

Series 6 Lesson 8 Mutual Funds pt 1 Series 6 Lesson 8 Mutual Funds pt 1 is our first discussion on Mutual Funds This is a big investment portfolio that can give as many shares as investors want to buy. The shares of the fund do not change value when investors buy shares. Shares become

Series 6 Lesson 7 Time Horizon In Series 6 Lesson 7 we discuss Time Horizon Time Horizon You have to think about the time horizon of your investments. The longer the time horizon the more volatility the person who is investing can withstand. The longer you have, the more you a risk and vice versa.

Series 6 Lesson 6 Investment Objectives Series 6 Lesson 6  You need to spend time getting to know your customer so that you understand what kind of recommendations you should make. Recommendations that are based on knowledge of the customer are said to be suitable. You have to use reasonable diligence in getting to know

Series 6 Lesson 5 Lesson 5: Unit 1, Part IV In Series 6 Lesson 5 we cover Debt Securities Debt Securities (Bonds) Companies let other people buy up their debt without having to give them voting rights in their company or paying them dividends. You simply have to pay them the interest on the loan

Series 6 Lesson 4 is about Investment Vehicles Series 6 Lesson 4 Investment Vehicles Lesson discusses Investment Vehicles This are different ways you can suggest people invest their money. Each carries a different level of risk vs. reward. Series 6 Lesson 4 covers Equity Investments: The investor buys equity in a company, which means they

Series 6 Lesson 3 Know your Customer Rule! In Series 6 Lesson 3 we talk about your know your customer rule an essential tenent of investment management! Sales Blotter This is a daily record that shows all the movements of cash and securities that a broker-dealer is responsible for during the business day. “Ledger” is

What is the Series 6 Exam? Series 6 Lesson 1. This podcast is an introduction to what is required to pass the FINRA Series 6 Exam. In Series 6 Lesson 1 we cover: What is the FINRA Exam? FINRA = Financial Industry Regulatory Authority, Inc. It is the self-regulating body for setting standards and regulation

Series 6 Lesson 18 Review pt. 1 Series 6 Lesson 18 Review pt. 1 the next 3 lessons will be a review of the full Series 6 Audio Course.  Under FINRA regulations, you are not allowed to disclose the contents of the FINRA exam to any other person. It must be kept completely confidential to