If you’re just starting on your path into the financial services industry or considering expanding your opportunities in the financial services industry, you may wonder which direction you should take. Is there another registration that will enhance your career and, if so, which one? …
Get FINRA’s Firm Element Course on your LMS! Todd Rosenfeld, Chief Learning Officer at STC, discusses Firm Element. We make Securities Continuing Education (Firm Element) easy. With SCORM-wrapped courseware, you can deploy training on your own LMS.
Changes to the Series 63, Series 65, and Series 66 NASAA exams go into effect on June 12, 2023. Watch the video to know what changed. Todd Rosenfeld, Chief Learning Officer at STC, discusses 2023 changes to Series 63, 65, and 66 exams. Be…
If you’re just starting on your path into the financial services industry and have scheduled a registered representative qualification examination (e.g., Series 6 or Series 7), you should understand that there’s one additional exam on the horizon—the Series 63. After taking and passing the…
Changes to the Series 86 and Series 87 exams go into effect on May 15, 2023. Watch the video to know what will be updated. Todd Rosenfeld, Chief Learning Officer at STC, discusses 2023 changes to Series 86 and 87 exams. Be assured that…
If you’re just starting to branch into the financial services industry, you’re likely overwhelmed with the number of licenses that are available to obtain. Why are there so many licenses, and which ones are right for you? Before taking any exams, you must first…
A Financial Risk Manager (FRM) is a professional who specializes in identifying and handling risks to financial asset management. The classification is granted by the highly respected Global Association of Risk Professionals (GARP), a nonprofit founded in 1996. The GARP sets and maintains standards…
As of January 1, 2022, NASAA (North American Securities Administrators Association) has applied a new Investment Advisor Representative (IAR) CE Model Rule. This rule has been in the works since 2014. After years of research and planning, it passed in November 2020. The CE Model…
It has been determined by multiple sources that there is a small success rate for financial advisors in their first year. Many people do not survive their first year as a financial advisor. The combination of pressure to find clients, a steep learning curve,…