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
Series 6 Lesson 2 This Series 6 lesson 2 covers Types of Investments Series 6 Lesson 2 delves into Bank deposits are backed by the FDIC, which the insurance from the federal government. This money is not at risk. The rewards/interest on this kind of investment are low. Money that is invested with a broker-dealer
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
FINRA Series 6 Prep Sample Audio Lesson 1 Under construction
Series 6 Lessons The Series 6 Lessons is a podcast for those preparing to take this exam. It consists of portions of the audio lessons designed to help the student prepare and pass for the series 6 Exam. The series 6 Exam is an entry level exam allowing those who pass the exam and work
