Financial Advisor

  1. Equipping Your Graduate With Wings

    Equipping Your Graduate With Wings

    After I graduated from high school, I moved out of my parents' home. Shortly after ...
  2. Human Capital, An Important Asset For Portfolio ...

    Human Capital, An Important Asset For Portfolio ...

    An investor’s total wealth consists of two parts – financial capital and human capital. ...
  3. Financial Advisors Are Feeling Cyber-insecure

    Financial Advisors Are Feeling Cyber-insecure

    Financial advisors are increasingly fretting over cybersecurity and client data breaches. ...
  4. What Type Of Person Needs A Financial Adviser?

    What Type Of Person Needs A Financial Adviser?

    What kind of person should enlist the help of a financial advisor and who might be ...
  5. Retirement Plans For All? These States Say 'Yes'

    Retirement Plans For All? These States Say 'Yes'

    State are beginning to address retirement security with efforts that could extend ...
  6. How to Use Yahoo! Finance

    How to Use Yahoo! Finance

    Yahoo! Finance provides an extremely competent and comprehensive offering for the ...
  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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