The RIA Numbers Game: The Series 65 vs. the Series 7/66

Burst&Bubble

Continues toThe Market

&chancestressinstability

A veritable witch’s brew of

Yet,investment advisor.somewhere, someone wants to get a job as an

Why?would they want

to do this

Maybe it’s their firstjob out of school.

Or, perhaps it’s acareer change.

Either way,they need the right skills and designationsto make themselves marketable.

Not many people LOVE taking tests.

LoveTests

in order to work with securities, they need tobuckle down and do some serious studying.

But,

they need to figure out which tests will maketheir ambitions possible.

And,

And, they need to learn to LOVE acronyms.

LoveAcronyms

7Anyone who works withsecurities at a FINRAmember firm has toregister with FINRA.(Catch-22)

There are always lots of

to do with yearly

compliancerequirements!cool things