Professionals

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Financial Professionals

  1.

    Introduction To Financial Planning Organizations

    Organizations such as the FPA and NAPFA are striving to provide higher standards ...

  2. A Day In The Life Of An Auditor

    If you like the idea of examining and attesting to a company's financial performance ...

  3. Should You Offer Alternative Investments?

    Find out what problems arise for financial representatives when they start to diversify ...

  4. A Day In The Life Of An Actuary

    We take a look at the typical workday of three actuaries who work for different types ...

  5. Shopping For A Financial Advisor

    Finding your perfect advisor is as simple as shopping for a car. Read on to learn ...

  6. How To Become An Investment Bank Analyst

    Financial services firms are taking a laser-like focus on analyst responsibilities ...
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FINRA Exams

  1. Series 3 - National Commodities Futures

  2. Series 6 - Mutual Fund and Annuity Representative

  3. Series 7 - General Securities Representative

  4. Series 9/10 - General Securities Supervisor

  5. Series 22 - Direct Participation Program Limited Representative

  6. Series 24 - General Securities Principal (GP)

  7. Series 26 - Investment Co/Variable Contracts

  8. Series 55 - Equity Trader Limited Representative

  9. Series 63 - Uniform Securities Agent State Law

  10. Series 65 - Uniform Investment Advisor Law Examination

  11. Series 66 - Uniform Combined State Law

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Global Professional Exams

  1. Chartered Financial Analyst (CFA®) Level I

  2. Chartered Financial Analyst (CFA®) Level II

  3. Chartered Financial Analyst (CFA®) Level III

  4. Certified Financial Planner (CFP®)

  5. Chartered Market Technician (CMT®) Level I

  6. Chartered Market Technician (CMT®) Level II

  7. Chartered Market Technician (CMT®) Level III

  8. Financial Risk Manager (FRM®) Part I

  9. Financial Risk Manager (FRM®) Part II

  10. Energy Risk Professional (ERP®)

  11. Licensed International Financial Analyst (LIFA®) Level I

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Canadian Professional Exams

  1. Canadian Securities (CSC™)

  2. Conduct and Practices Handbook (CPH™)

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Professionals FAQs
  1.

    Where can I look for a financial planner?

    References from trusted friends or family members can help you find a financial planner; however, keep in mind that your friends' financial situations and goals may differ from yours and, therefore, their planners won't necessarily be the best fit for you.The Certified Financial Planner (CFP) Board of Standards certifies financial planners and maintains an online list of certified financial planners on its CFP Board of Standards website.

  2. If I am looking to get an Investment Banking job. What education do employers prefer? MBA or CFA?

    If you are looking specifically for an investment banking position, an MBA may be marginally preferable over the CFA. The caveat here is that the MBA would most probably need to be from a Top-20 B-School.The Chartered Financial Analyst (CFA) is well worth considering if you (a) are aiming for an entry-level position in investment banking, and/or (b) cannot afford to shell out six figures for an MBA or have to settle for a lesser-known B-school.That's because in the investment banking field, most entry-level positions are at the analyst level.

  3. Can I still pass the CFA Level I if I do poorly in the ethics section?

    You may still pass the Chartered Financial Analysis (CFA) Level I even if you fare poorly in the ethics section, but don't count on it. The CFA Institute has long emphasized that ethics is a particular area of focus for it. The seriousness with which the CFA Institute views ethics is evident from the fact that for exam candidates with borderline total scores, performance on the ethics section can mean the difference between passing and failing the exam.

  4. Under the USA, registration as an IAR includes all of the following EXCEPT:

    Under the USA, registration as an IAR includes all of the following EXCEPT: A. Minimum net capitalB. Passing a qualification examC. Filing a consent to service of processD. Posting a surety bond The correct answer is "A", since only an IA would need to prove minimum net capital requirements.
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