Financial Careers FAQs

  1. What licenses does a hedge fund manager need to have?

  2. What do hedge fund analysts do?

  3. Is a financial advisor allowed to pay a referral fee?

  4. Do financial advisors get paid by mutual funds?

  5. Do financial advisors prepare tax returns for clients?

  6. Why is fiduciary duty so important?

  7. Do financial advisors have to find their own clients?

  8. Do financial advisors get drug tested?

  9. Is a financial advisor required to have a degree?

  10. Why do financial advisors have a fiduciary responsibility?

  11. Do financial advisors have to be licensed?

  12. Do financial advisors have a base salary?

  13. What fees do financial advisors charge?

  14. Do financial advisors need to meet quotas?

  15. Do financial advisors need to be approved by FINRA?

  16. Does a financial advisor need an MBA?

  17. How do financial advisors charge fees?

  18. Do financial advisors work only in banks?

  19. How can an investment banker switch to a career in corporate finance?

  20. What are the best MBA programs for corporate finance?

  21. How stressful is the typical corporate finance job?

  22. What are the benefits of financial sampling?

  23. What should I study in school to prepare for a career in corporate finance?

  24. What are the differences between a Chartered Financial Analyst (CFA) and a Certified ...

  25. What are the benefits of hiring a Chartered Financial Analyst (CFA) to be my financial ...

  26. How do I become a Chartered Financial Analyst (CFA)?

  27. What types of positions might a Chartered Financial Analyst (CFA) hold?

  28. What types of companies hire a chartered financial analyst (CFA)?

  29. How do I get started with a career in asset management?

  30. For which kind of jobs is having Magnum Cum Laude most important?

  31. Who sets the guidelines for accounting principles?

  32. Other than accounting, what does a corporate finance job involve?

  33. What is the difference between fee-based advisors and commission-based advisors?

  34. What is private wealth management?

  35. Why are fee-based accounts preferred by many high net worth individuals (HNWI)?

  36. What is the difference between fee-only advisors and fee-based advisors?

  37. How do I attract high net worth individuals (HNWI) as clients at my financial advisor ...

  38. How do I perform a financial analysis using Excel?

  39. If I have only a limited amount of time to study for the Series 6, what should I ...

  40. Why is the Trade Volume Index (TVI) important for traders and analysts?

  41. Who are Thomson-Reuters (TRI) main competitors?

  42. For what reasons are electronics stocks commonly purchased by a value investor?

  43. What developed countries have the highest concentration in the banking sector?

  44. What kinds of financial analysis jobs are there?

  45. What types of information does one need to perform a thorough financial analysis?

  46. What does passing the Series 6 enable me to do?

  47. When might an analyst take an overweight position in a particular stock?

  48. What is the difference between variance and standard deviation?

  49. What kinds of acts pertaining to interests in collective investment schemes are excluded ...

  50. Why do analysts sometimes give an overweight recommendation on a stock?

  51. Why is moral hazard so prevalent in the financial services industry?

  52. What are some of the better types of financial analysis software?

  53. What are some examples of fiduciary duty?

  54. What are some common questions an interviewer may ask during an interview for a position ...

  55. What is the relationship between the hurdle rate (MARR) and the Internal Rate of ...

  56. What are the differences between three-step and five-step DuPont Analysis?

  57. What licenses and certifications do you need for a career in portfolio management?

  58. What are some roles of an investment bank?

  59. Why choosing the right investment advisor is crucial for your portfolio's health

  60. What are the most common interview questions for banking / finance jobs?

  61. I need special accommodations when taking the Series 63 exam. How are such arrangements ...

  62. Do I need a class to take the Series 63 exam?

  63. How do you interpret the magnitude of the covariance between two variables?

  64. Is variance good or bad for stock investors?

  65. What are the major differences between investment banking and private equity?

  66. How is the Chairman of the Securities and Exchange Commission (SEC) chosen?

  67. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

  68. How do I import QuickBooks Pro Account trial balances for the first time?

  69. Where do I take the Series 63 examination?

  70. What are the different types of operating expenses?

  71. Who uses Porter's 5 forces analysis?

  72. What are my options if I fail my Series 63 exam?

  73. Are all mortgage backed securities (MBS) also collateralized debt obligations (CDO)?

  74. How much time can I expect to spend on studying for the Series 63 exam?

  75. How do I sign up for a Series 63 exam as a foreign national if I don’t have a Social ...

  76. What should I bring to the Series 63 exam?

  77. I want a career in private equity. How can I get started?

  78. My scores on the Series 63 average a passing grade, but the testing center said I ...

  79. How is the Series 63 exam set up?

  80. How long is the Series 63 exam?

  81. Can you trade securities before you pass the Series 63 exam?

  82. How long is the validity period for a Series 63 exam if I have not been registered?

  83. Are there any continuing education requirements for Series 63 exams?

  84. How can I report a problem that occurred on my Series 63 exam?

  85. Where do I get a certificate or other evidence of passing the Series 63 exam?

  86. I would like a refund for my Series 63 exam. What should I do?

  87. What is the best way to study for the series 63 exam?

  88. Is there a limit on the number of times I can re-take the Series 63 exam?

  89. How long must I wait after failing the Series 63 exam before I can take it again?

  90. Do I need to pass the Series 63 if I am just taking orders for securities?

  91. My 120-day Series 63 exam window is about to close, but I need more time to study. ...

  92. Do I have to be a U.S. citizen to sit for the Series 63 exam?

  93. I gave an answer on the test from my study guide that was scored wrong on the Series ...

  94. Are waivers granted to the 180-day waiting period to re-take the Series 63 exam?

  95. Which version of the Uniform Securities Act should I study to prepare for my Series ...

  96. If I failed the Series 66, does the waiting period apply if I want to take the Series ...

  97. How often, and how, is a series 63 exam updated?

  98. Are series 63 exams given outside of the United States?

  99. Does NASAA or anyone else give out the series 63 exam questions?

  100. How many people fail the series 63 exam every year?

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