8 classes with 16 hours of instruction; a complete, live lecture Series 65 course.
Covering all topics on the NASAA Series 65 Exam including:
1. Economic Factors and Business Information (15% of the exam)
- Basic Economic Concepts: Business cycles, monetary and fiscal policies, global and geopolitical factors.
- Financial Reporting: Understanding financial statements and their implications.
- Types of Risk: Understanding different types of risks, such as market risk, interest rate risk, and inflation risk.
2. Investment Vehicle Characteristics (25% of the exam)
- Types of Investments: Fixed income, equity, and other securities.
- Valuation: Understanding how to value different investment vehicles.
- Investment Products: Cash and equivalents, fixed income securities, equities, pooled investments, derivative securities, and insurance-based products.
3. Client Investment Recommendations and Strategies (30% of the exam)
- Types of Clients: Understanding different client profiles and their investment needs.
- Tax Considerations: Understanding the tax implications of different investment strategies.
- Portfolio Management: Developing a client profile and applying your understanding of risk, and portfolio theory.
- Financial Planning: Understanding financial planning concepts and strategies.
4. Laws, Regulations, and Guidelines (30% of the exam)
- State and Federal Securities Acts: Understanding the laws and regulations that govern the securities industry.
- Rules and Regulations for Investment Advisers: Understanding the rules and regulations that apply to investment advisers.
- Ethical Practices: Understanding ethical standards and fiduciary obligations.
- Communication with Clients: Understanding how to communicate with clients in a professional and ethical manner.
- Compensation: Understanding different types of compensation and their implications.
- Client Funds: Understanding how to handle client funds and avoid conflicts of interest.
- Conflicts of Interest: Understanding how to identify and manage conflicts of interest.
Class Schedule:
Reserve your spot with Luke, a Series 65 expert & seasoned industry professional today!
Jacob Wedincamp –
I participated in the class learning environment and I can say that it is a tremendous help with how subjects are broken down into the testing necessities. I highly recommend!