Financial Advisor

  1. 5 Key Factors Your Financial Plan May Not Address

    5 Key Factors Your Financial Plan May Not Address

    When the size of your IRAs and 401(K)s inputs a bunch of figures, out comes the verdict, ...
  2. Closing In On Retirement? Read These Tips

    Closing In On Retirement? Read These Tips

    If you're within 10 years of retiring, you and your financial planner should heed ...
  3. New 2015 Contribution Limits: Advisors Take Heed

    New 2015 Contribution Limits: Advisors Take Heed

    The Internal Revenue Service's new 2015 contribution limits for tax-deferred savings ...
  4. Top Tips For Winning New Clients

    Top Tips For Winning New Clients

    Advisors looking to attract potential clients need to speak in a straightforward ...
  5. Mutual Funds Commonly Found In Retirement Plans

    Mutual Funds Commonly Found In Retirement Plans

    If you have a 401(k), these fund names should ring a bell. Here's how and why.
  6. Want To Impress Clients? Show Your Due Diligence

    Want To Impress Clients? Show Your Due Diligence

    Doing the learning legwork for the products and service providers you employ will ...
  1. An IA’s client has a primary goal of tax reduction and a secondary goal of current ...

    a. Treasury STRIPS b. Growth stocks c. Fixed annuities d. Municipal bonds Answer: DFixed annuities, growth stocks and STRIPS ...
  2. How quickly should my financial advisor sell a stock that I have asked him or her ...

    Financial advisors and planners have fiduciary responsibilities to their investors. They owe their investors a high degree ...
  3. The de Minimis clause for investment advisers means:

    A. An investment adviser must register with the state if it holds less than $25 million in assets.B. An investment adviser ...
  4. Your client has a net short-term gain of $3,000 and a net long-term loss of $8,0 ...

    I. The short-term gain is fully taxableII. $3,000 of capital loss is deductible against earned incomeIII. There is a long-term ...
  1. Series 99

    FINRA/NASAA Series 99 Exam Guide
  2. Series 24

    FINRA/NASAA Series 24 Exam Guide
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