Location: Colorado
Age: Early 30s
Profession: Compliance director
College major: Business

The Study Method
Jonathan studied very thoroughly. He read the entire book, took the practice tests and then did something unique: he made flash cards of all the questions he got wrong on the practice tests. He then simply looked at the flash cards for a few days and retook the tests one more time. [Author Notes: This is an extremely effective study method and should generally guarantee that you pass the exam, as you rigorously focus on the questions you do not know!]

If He Could Turn Back Time ...
He would spend less time reading the book and simply take the tests. He read the book very slowly and carefully and felt like he would have benefited more from just skimming it and getting right to the practice exams!

Final Words of Advice
As a compliance professional, Jonathan recommends that you take the exam as quickly as you can after taking the Series 6 or 7. Some of the information overlaps, and you will have a better chance of passing - with less actual study time. When you are studying for the exam, make sure that you understand the main concepts beyond the exam and do not get lost in the details. If you understand all of the main concepts, you will be able to guess on some of the questions, based on common sense. In addition, it is important to understand the main theme of the entire exam is ethics. Jonathan adds, "Just always do the right thing and don't study too hard; you only need to pass


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